6-Hour Program

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Overview

Why you should attend

Over the past few years and once again in FY2013, cases against investment advisers have come to represent the single largest component of the SEC’s enforcement docket. At the same time, the SEC’s exam program, working closely with Enforcement, continues to hone its focus on private equity and hedge funds, announcing a series of initiatives targeting new registrants under Dodd-Frank as well as established firms who have not been examined in recent years. Meanwhile, the CFTC’s expanded regulatory role and invigorated enforcement department has resulted in more cases than ever before, affecting a wider range of conduct. Attend this program to gain expert insights into current and anticipated enforcement, regulatory, legislative and compliance priorities impacting hedge funds and private equity funds. Our experts, including many senior officials from the government, will also analyze and discuss the effects these priorities have and will have on fund managers and their advisers, and leading members of the industry and private bar will provide practical guidance regarding effective compliance strategies in this supercharged multi-regulator environment.

What you will learn

  • Current SEC, CFTC and NY State Attorney General hedge and private equity fund enforcement and regulatory priorities and initiatives
  • How to prepare for an SEC examination in the current regulatory environment and what the examiners will expect and ask for when they walk through the door
  • The best methods for constructing effective compliance programs to prioritize and guard against regulatory risk, both in the U.S. and abroad
  • Legislative and regulatory developments affecting hedge and private equity funds

Who should attend

Attorneys, hedge fund and private equity counsel, and compliance professionals interested in or currently working in the hedge fund industry will benefit from this program.

Credit Details