3-Hour Program

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Overview

Why You Should Attend

Every year, PLI’s Private Fund Regulatory Developments and Compliance Challenges delivers a uniquely thorough, yet concise analysis of the latest regulatory updates and practical guidance for legal and compliance professionals operating in the hedge fund and other private fund arena.  The 2017 program continues this tradition, featuring a diverse faculty who will share helpful insights from the regulatory, industry and outside counsel vantage points.  

The 2017 agenda addresses recent major regulatory initiatives, including the NFA’s 2017 hot button issues and the SEC’s 2017 examination priorities, and key regulatory developments, including how Brexit, the Department of Labor’s Fiduciary Rule and FinCEN’s AML proposal  may impact the industry. Attendees will also learn strategic and tactical takeaways of new and recurring issues concerning hedge funds and other private funds, such as broker-dealer status questions, business continuity and transition planning, disclosure of conflicts of interest and
managing the allocation of fees and expenses.

What You Will Learn

• Compliance Issues for SEC-Regulated Private Funds – SEC examination focus, conflicts of interest, Broker-Dealer status questions, CCO liability

• Major Regulatory Updates for Hedge and Private Funds – Brexit, FinCEN’s AML Rules, DoL’s Fiduciary Rule, incentive-based compensation

• Commodities and Derivatives – NFA’s 2017 hot button issues and cybersecurity guidance, proposed Regulation AT, risk reporting (CPO-PQRs) and more

Who Should Attend

Attorneys, in-house counsel and compliance professionals operating in the hedge fund and private fund arena. 

Credit Details