Private Fund Compliance™
Date: October 1, 2014
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)
Interested in Continuing Compliance Education™, CLE or CPE (A & A hours), attend via the RCA’s Online University (On Demand) – free for Practice Edge Elite Members
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Over the last few years, the private funds industry has experienced significant regulatory and structural changes. Many fund sponsors are now registered with the SEC and are operating as regulated entities. Within the SEC’s Office of Compliance, Inspections and Examinations, the SEC has increased its focus on and understanding of the private equity industry, and is constantly updating its inspection strategies of private equity fund sponsors.
The session will focus on compliance for private equity and hedge funds, SEC examination priorities and preparedness and managing risk. The session will highlight the following:
• Actions to be considered by private funds in connection with ongoing regulatory compliance.
• Reviewing filing obligations and annual reviews.
• Review of SEC examination priorities (including allocation of fees and expenses, broker-dealer issues, and conflicts of interest).
• The importance of SEC preparedness and involvement of management.
• Recent SEC Guidance and Areas of focus – conflicts of interest, custody and disclosure in documents.
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association
Senior Fellow from Practice:
Beth Kramer, JD, Partner, Chadbourne & Parke
Scott Naidech, JD Partner, Chadbourne & Parke
Kathy Glass, Chief Administrative Officer, W Capital Partners
Matt Siano, JD Managing Director | General Counsel, Two Sigma Investments
Glen Benson, JD Audit Partner, KPMG