transcript   Transcript

Establishing an Effective Hedge and Private Fund Compliance Program

Recorded on: Dec. 5, 2017
Running Time: 00:58:34

Full Transcript:

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Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 Recorded December 2017 in New York

Establishing an Effective Hedge and Private Fund Compliance Program [00:58:34]
  • OCIE perspective - current priorities and approach to assessment of compliance programs
  • Electronic communications – recent developments
  • Conflicts of interest – identifying and managing evolving risks
  • Valuations – managing compliance risks
  • Big data and third party providers
  • Cybersecurity risks

Speakers: Kenneth Burke, Jane Jarcho, Bruce Karpati, Colleen Lynch, Mark K. Schonfeld 

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

  • 2017 Mid-Year Securities Enforcement Update (July 18, 2017)
    Barry R. Goldsmith
  • K. Susan Grafton and Linda J. Muzere, Challenges for Private Fund Advisers in Establishing and Maintaining a Compliance Program (September 29, 2017)
    K. Susan Grafton
  • The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers, the Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Volume VI, Issue 3 (February 7, 2017)
Kenneth Burke ~ TPG Sixth Street Partners
Jane E. Jarcho ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Bruce Karpati ~ Global Chief Compliance Officer and Counsel, Kohlberg Kravis Roberts & Co. L.P.
Colleen K Lynch ~ Coatue Management
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
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