Seminar  Program

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017


Select a Location:

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and rate code PLII. You can also Book Online- Kimpton.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

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.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars 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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars 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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars 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 live seminars 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 live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

 

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute
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. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts 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 live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts 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 live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

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 live webcasts 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 live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Jersey:  PLI’s live webcasts 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 live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s live webcasts qualify as “non-traditional” credit. Attorneys are limited to 8 credits of non-traditional programs per reporting period.

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Tennessee:  PLI’s live webcasts 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 live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

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

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as “Group-Internet-Based” (GIB) credit.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts 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 live webcasts 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 live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

 

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute
New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.

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.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute

Philadelphia Groupcast Location

Pennsylvania Bar Institute, The CLE Conference Center, Wanamaker Building, 10th floor, Suite 1010, Center City Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). (800) 932-4637. Click here for directions.

Philadelphia Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Marriott Residence Inn

Ritz Carlton

Loews Philadelphia

Philadelphia Marriott Downtown

Hilton Garden Inn

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.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute
Ice Miller LLP, One American Square, Suite 2900, Indianapolis, IN 46282

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.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute
Atlanta Groupcast Location

Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, GA 30303-1601. (404) 521-0781.

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.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute

Mechanicsburg Groupcast Location

Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg PA 17055, (800) 932-4637. Click here for directions.

Mechanicsburg Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Hampton Inn Harrisburg-West, 4950 Ritter Road, Mechanicsburg, Pennsylvania, USA 17055. Tel: 717-691-1300. Fax: 717-691-9692.

Homewood Suites by Hilton® Harrisburg-West Hershey Area, 5001 Ritter Road, Mechanicsburg, Pennsylvania, United States 17055. Tel: 1-717-697-4900. Fax: 1-717-697-9101.

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.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference 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, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new 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.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

Special Features

  • Earn up to one hour of Ethics credit

Who Should Attend

Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

9:00 Opening Remarks and Introduction

Speaker: Barry R. Goldsmith

9:15 Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – new investigative techniques and unannounced exams
  • Illiquid positions, conflicts of interest and allocation of fees and expenses
  • Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
  • How to best prepare for and survive an OCIE exam
  • Use of data analytics in the exam process

Speakers: K. Susan Grafton, Ken C. Joseph, John H. Walsh



11:15 Networking Break

11:30 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Perry Vais



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Insider trading – recent developments in the law and SEC practice
  • Political intelligence and expert networks
  • The proliferation of Big Data and emerging compliance risks
  • FCPA risks for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Jessica Hopper, Colleen Mahoney



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • CCO liability – where it stands with the regulators
  • Conflicts of interest and related party transactions – identification, monitoring and testing
  • Compliance’s role in valuations
  • Oversight of expert networks and third party consultants
  • Cybersecurity and business continuity planning
  • Conducting effective compliance testing

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Dodd-Frank whistleblower protections in investigations and separation agreements
  • Self reporting – should I or shouldn’t I and will it matter?
  • Attorney-client privilege – the line between legal and compliance and balancing preservation of the privilege with demonstrating compliance and cooperation

Speakers: Susan E. Brune, Stephen J. Crimmins, Andrew B. David, Joan E. McKown, Andre E. Owens



5:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Susan E. Brune ~ Brune Law P.C.
Kenneth Burke ~ TPG Sixth Street Partners
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Stephen J. Crimmins ~ Murphy & McGonigle
Brian T. Daly ~ Schulte Roth & Zabel LLP
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
K. Susan Grafton ~ Dechert LLP
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Ken C. Joseph ~ US Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Colleen K. Lynch ~ Coatue Management
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Andre E. Owens ~ WilmerHale LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Perry Vais ~ Blue Mountain Capital Management, LLC
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute

Pittsburgh Groupcast Location

Pennsylvania Bar Institute, Professional Development Conference Center, 339 Sixth Avenue, Suite 760, Pittsburgh, Pennsylvania 15222-2517. (412) 802-2300. Click Here for Directions

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.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

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