transcript   Transcript

Hot Button Enforcement Issues for Private Funds

Recorded on: Oct. 15, 2018
Running Time: 01:00:32

Full Transcript:



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Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018 Recorded October 2018 in New York

Hot Button Enforcement Issues for Private Funds [01:00:32]
  • The Clayton SEC – what has changed and what remains the same
  • FINRA oversight of marketing and sales of hedge funds
  • Disclosure of fees and allocation of costs
  • Cybersecurity issues for private funds
  • Kokesh – what it means in practice and issues on the horizon

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

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • 2018 Mid-Year Securities Enforcement Update (July 30, 2018)
    Barry R. Goldsmith
  • Compliance Reminders for Private Fund Advisers—2018 (February 14, 2018)
    Barry R. Goldsmith
  • Materials from Jay M. Lippman
    Jay M. Lippman
(s)
Christopher Kelly ~ Senior Vice President of Sales Practice Enforcement, FINRA
Thomas C Newkirk ~ Jenner & Block LLP
Michael J. Osnato, Jr. ~ Simpson Thacher & Bartlett LLP
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission, New York Regional Office
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