6-Hour Program

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Overview

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on hedge funds and private equity firms.  While insider trading remains a priority, examinations and investigations have turned to increasingly complex issues that private funds must deal with on a daily basis - valuation, conflicts of interest regarding fees, cybersecurity, big data and allocation of investment opportunities and expenses.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. 

New rules have been proposed by Treasury’s Financial Crimes Enforcement Network (FinCEN) that for the first time would require many private funds to establish AML programs and report suspicious activity under the Bank Secrecy Act.  In addition to managing examinations by the SEC’s new Private Funds Unit, private funds face continued scrutiny by the CFTC, Department of Justice and New York State Attorney General’s Office of Investor Protection.  

Attend this program to gain insights into current and anticipated enforcement, regulatory, legislative and compliance priorities and how best to deal with them.  Our experts include senior government officials, in-house GC’s and CCOs, and leading private practitioners. 

What You Will Learn

  • Current SEC, DOJ, CFTC and other government private fund enforcement and examination priorities
  • How to prepare for and manage an examination by the SEC’s newly formed Private Fund Unit and strategies to prevent a full-fledged enforcement investigation
  • Strategies for dealing with new issues surrounding cybersecurity and forthcoming AML rules
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • New developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit!

 Who Should Attend

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

Credit Details