On-Demand   On-Demand Web Programs

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018

Released on: Oct. 16, 2018
Running Time: 06:08:11
The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.

The list of risk areas continues to grow, with examiners and enforcement staff focusing scrutiny on – valuations of illiquid positions, cybersecurity, disruptive trading practices, conflicts of interest, allocation of fees, expenses and investment opportunities among funds, sources and usage of “big data,” virtual currencies and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise, sophistication and data analytic skills mature, so does their use of in-house industry experts and whistleblowers.

In addition to managing examinations by the SEC’s Private Funds Unit, private funds face continued scrutiny by the CFTC, NFA, Department of Justice and New York State Attorney General’s Office of Investor Protection.  Attend this program to gain valuable insights into current and anticipated enforcement, regulatory, legislative and compliance priorities and how best to deal with them.

Lecture Topics [Total time 06:08:11]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks* [00:06:16]
    Barry R. Goldsmith
  • Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective [01:03:38]
    Mark K. Schonfeld, Marc P. Berger, Jason Cowley, Cynthia A. Hanawalt, Manal Sultan
  • SEC Inspections and Examinations of Private Hedge and Equity Funds [00:59:25]
    John H. Walsh, Julie M. Riewe, Maurya C. Keating, Marc E. Elovitz
  • Big Data, Political Intelligence and Third Party Expert Networks [00:59:39]
    Matthew Senatore, Barry W. Rashkover, Laurence Herman, Lacey R. Keller
  • Hot Button Enforcement Issues for Private Funds [01:00:32]
    Michael J. Osnato, Jr., Thomas C. Newkirk, Lara Shalov Mehraban, Christopher Kelly
  • Establishing an Effective Hedge and Private Fund Compliance Program [00:59:02]
    Jay M. Lippman, Colleen K. Lynch, Kevin Tagami, Jeffrey C. Morton, Mark K. Schonfeld
  • Thorny Hedge Fund Hypotheticals - Ethical Issues [00:59:40]
    Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • COMPLETE COURSE HANDBOOK
  • 2018 Mid-Year Securities Enforcement Update (July 30, 2018)
    Barry R. Goldsmith
  • Compliance Reminders for Private Fund Advisers—2018 (February 14, 2018)
    Barry R. Goldsmith
  • Supreme Court Rules That SEC ALJs Were Unconstitutionally Appointed
    Barry R. Goldsmith
  • Lucia v. SEC, 585 U.S. ___ (2018)
  • Supreme Court Rules on Whistleblower Reporting to SEC
    Joan E. McKown
  • The Perils of Well-Intentioned Deception: Insider Trading Case Highlights Challenges Facing Public Companies (July 2018)
    Joan E. McKown
  • Materials from Jay M. Lippman
    Jay M. Lippman
  • Insider Trading: Where Is the Line?
    Stephen J. Crimmins

Presentation Material

  • Thorny Hedge Fund Hypotheticals
    Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens
Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Marc E. Elovitz ~ Schulte Roth & Zabel LLP
Cynthia A. Hanawalt ~ Chief, Investor Protection Bureau, Office of the Attorney General New York
Maurya C. Keating ~ Associate Regional Director, U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
Joan E. McKown ~ Jones Day
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission,
Jeffrey C. Morton ~ ACA Compliance Group
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
John H. Walsh ~ Eversheds Sutherland LLP
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s on-demand web programs qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s on-demand web programs qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

Louisiana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

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