Seminar  Program

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018


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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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

Speaker: Barry R. Goldsmith



9:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



11:15 Networking Break

11:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
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 (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 Corporate Rate ID 786839408. In addition, you can book online at PLI Muse Hotel

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. In addition, you can book online at PLI Millennium Hotel .

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

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

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

West Virginia:  PLI’s 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.

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

Dubai (CLPD-DUBAI):  PLI’s live seminars may fulfill CLPD credit requirements.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE): PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live seminars may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live seminars may fulfill CFP 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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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

Speaker: Barry R. Goldsmith



9:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



11:15 Networking Break

11:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
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:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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

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

West Virginia:  PLI’s 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.

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

Dubai (CLPD-DUBAI):  PLI’s live webcasts may fulfill CLPD credit requirements.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as the “Group-Internet-Based” (GIB) delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live webcasts may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live webcasts may fulfill CFP 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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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

Speaker: Barry R. Goldsmith



9:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



11:15 Networking Break

11:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
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:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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

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

West Virginia:  PLI’s 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.

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

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


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP 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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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

Speaker: Barry R. Goldsmith



9:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



11:15 Networking Break

11:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
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:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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

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

West Virginia:  PLI’s 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.

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

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


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP 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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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

Speaker: Barry R. Goldsmith



9:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



11:15 Networking Break

11:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
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:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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

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

West Virginia:  PLI’s 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.

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

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


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP 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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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

Speaker: Barry R. Goldsmith



9:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



11:15 Networking Break

11:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
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:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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

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

West Virginia:  PLI’s 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.

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

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


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP 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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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.

8:00 Opening Remarks

Speaker: Barry R. Goldsmith



8:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



9:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



10:15 Networking Break

10:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



11:30 Lunch

12:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



1:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



2:45 Networking Break

3:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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



4:00 Adjourn

Chairperson(s)
Barry R. Goldsmith ~ Gibson, Dunn & Crutcher LLP
Speaker(s)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Program Attorney(s)
Kenneth Min ~ Program Attorney, Practising Law Institute
Nashville Groupcast Location

The Nashville Bar Association, 150 4th Avenue, North, Suite #1050, Nashville, TN 37219. (615) 242-9272.

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

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

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

West Virginia:  PLI’s 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.

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

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


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP 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 program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

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

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

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
  • What to expect from the SEC’s new Quantitative Analytics Unit (QAU)
  • Effective strategies to prevent examination from becoming a full-fledged enforcement investigation
  • How to monitor for and protect against prohibited trading activities such as spoofing
  • How to improve your firm’s compliance program and manage regulatory risk
  • New developments on insider trading affecting private funds

Who Should Attend

Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

 

Program Level: Overview

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

Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

Advanced Preparation: None 


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

Speaker: Barry R. Goldsmith



9:15 Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
  • SEC Oversight of Private Funds - enforcement priorities under the new Commission
  • CFTC enforcement of disruptive trading practices in the private fund space
  • Criminal perspectives and prosecutions
  • NYAG enforcement trends involving hedge funds and private equity
  • Strategies for avoiding and successfully resolving enterprise-critical investigations

Speakers: Marc P. Berger, Jason Cowley, James M. McDonald, Mark K. Schonfeld



10:15 SEC Inspections and Examinations of Private Hedge and Equity Funds
  • SEC’s Private Funds Unit – what is new and what to expect in 2019
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Increased coordination between examination and enforcement staff

Speakers:  Julie Riewe, Maurya C. Keating, John H. Walsh                         



11:15 Networking Break

11:30 Big Data, Political Intelligence and Third Party Expert Networks                                                
  • New developments in the SEC’s use of “big data” in examination and investigations
  • Using political intelligence in an intelligent way – insider trading and regulatory pitfalls
  • How to structure relationships with third party expert networks and things to avoid
  • Use of big data by private funds – is the sky the limit?
  • Recent cases and what they mean for future enforcement

Speakers: Laurence Herman, Lacey R. Keller, Barry Rashkover, Matthew Senatore



12:30 Lunch

1:45 Hot Button Enforcement Issues for Private Funds
  • Disclosure of fees and costs
  • The Clayton SEC – what has changed and what remains the same
  • Cybersecurity – governance and risk assessment, access rights and controls
  • AML – regulatory expectations and new obligations
  • FCPA issues for private funds

Speakers: Thomas C. Newkirk, Lara Shalov Mehraban, Michael A. Osnato, Jr.



2:45 Establishing an Effective Hedge and Private Fund Compliance Program
  • 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
  • Virtual currencies – issues to pay attention to
  • Cybersecurity risks

Speakers: Jay M. Lippman, Colleen K. Lynch, Kevin Tagami



3:45 Networking Break

4:00 Thorny Hedge Fund Hypotheticals - Ethical Issues
  • Multiple representation issues in government investigations
  • Ethical issues in activist investing
  • Dodd-Frank whistleblower protections – what can you do and what you shouldn’t do
  • Information sharing and “obey the law provisions”
  • When does “insider tainting” become “insider trading”?

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)
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune Law P.C.
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Stephen J. Crimmins ~ Murphy & McGonigle
Andrew B. David ~ General Counsel and Chief Compliance Officer, Aristeia Capital L.L.C.
Maurya C. Keating ~ U.S. Securities and Exchange Commission
Lacey R. Keller ~ Gryphon Strategies
Jay M. Lippman ~ Managing Director, Exiger
Colleen K. Lynch ~ Coatue Management
James M. McDonald ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Joan E. McKown ~ Jones Day
Thomas C. Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Barry W. Rashkover ~ Sidley Austin LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
Matthew Senatore ~ Chief Operating Officer/General Counsel, Earnest Research
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
Kevin Tagami ~ Managing Director, Meritage Group LP
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:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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

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

West Virginia:  PLI’s 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.

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

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


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s 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.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

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