transcript   Transcript

Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds

Recorded on: Feb. 1, 2018
Running Time: 01:15:13

Full Transcript:

If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Private Fund Regulatory Developments and Compliance Challenges 2018 Recorded January 2018 in New York

Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds [01:15:13]

  • 2018 SEC examination priorities
  • Understanding the SEC’s exam program for investment advisers
  • Regulatory Developments, including Form ADV amendments and the impact of MiFID II
  • Compliance challenges including with respect to valuation practices
  • Conflicts of interest, including with respect to fees and expenses
  • Performance marketing and advertising

James A. Capezzuto, Ken Joseph, Daniel S. Kahl, Alpa Patel

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

  • Alpa Patel, Kevin Cassidy and Corey D. Casbarro, Cybersecurity Overview (November 27, 2017)
    Alpa Patel
James A. Capezzuto ~ Chief Compliance Officer, Oppenheimer Asset Management
Ken Joseph ~ Managing Director, Global Leader, Disputes, Duff & Phelps, LLC
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Alpa Patel ~ Kirkland & Ellis LLP
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.