This is a webcast of the live New York session
Why you should attend
The government’s continued crackdown on insider trading has focused on hedge funds, their consultants and those who analyze and trade for them. Regulators and enforcement officials have now turned their sights to conflicts of interest, valuation, cross-trades, expense and trade allocation, and fee practices. Following new registration requirements under Dodd-Frank, private equity firms are under examination scrutiny by the SEC, and according to senior regulatory officials, the number of enforcement investigations and cases involving them are likely to increase. At the same time, new CFTC rules under Dodd-Frank abound, and with the agency’s expanded regulatory role and invigorated enforcement department, there are more cases than before affecting a wider range of conduct. With all of this in mind, the role of compliance has never been more important, and private funds are employing new strategies to meet those challenges and risks.
Attend this program to gain expert insights into current and anticipated enforcement, regulatory, legislative and compliance priorities. Our experts, including many from the government, will also analyze and discuss the effects these priorities have and will have on hedge fund managers and their advisers, and provide practical guidance regarding effective compliance strategies going forward.
What you will learn
- Examine current SEC, CFTC and other regulatory hedge fund and private equity enforcement and examination priorities
- Analyze the risks inherent in using expert research networks and the red flags government investigators look for with respect to advisers that use them
- Understand how to identify and effectively manage conflicts of interest inherent from managing different clients, investors and products under the same private fund umbrella
- Learn how best to prepare for an SEC private fund examination and what the examiners will expect and ask for when they walk through the door
- Discuss best methods for constructing effective compliance programs to prioritize and guard against regulatory risk
- Evaluate legislative and regulatory developments affecting hedge and private equity funds
- Earn one hour of Ethics credit
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.
PLI Group Discounts
Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact firstname.lastname@example.org or call (800) 260-4PLI.
PLI Can Arrange Group Viewing to Your Firm
Contact the Groupcasts Department via email at email@example.com for more details.
All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.
PLI makes every effort to accredit its Live Webcasts. Please check the CLE Calculator above for CLE information specific to your state.
PLI's Live Webcasts
are approved for MCLE credit (unless otherwise noted in the product description
) in the following states/territories: Alabama, Alaska, Arkansas, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois, Indiana1
, Iowa*, Kansas*, Kentucky*, Louisiana, Maine*, Minnesota, Mississippi, Missouri, Montana, Nebraska, North Carolina, North Dakota, New Hampshire*, New Jersey, New Mexico, Nevada, New York2
, Oklahoma, Oregon*, Pennsylvania4
, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia5
, Virgin Islands, Washington, West Virginia, Wisconsin, and Wyoming*.*PLI will apply for credit upon request.
Arizona: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
Arkansas and Oklahoma: Audio-only live webcasts are not approved for credit.
1Indiana: Considered a distance education course. There is a 6 credit limit per year.Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
2New York: Newly admitted attorneys may not take non-transitional course formats such as on-demand audio or video programs or live webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
3Ohio: To confirm that the live webcast has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per biennial compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
4 Pennsylvania: A live webcast may be viewed individually or in a group setting. Credit may be granted to an attorney who views a live webcast individually. There is a 4.0 credit limit per year for this type of viewing. A live webcast viewed in a group setting receives live participatory credit if the program is open to the public and advertised at least 30 days prior to the program. Live webcasts viewed in a group setting that do not advertise at least 30 days prior the program will be considered "in-house", and therefore denied credit.
5Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, refer to your state CLE website or call Customer Service at (800) 260-4PLI (4754) or email: firstname.lastname@example.org.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.