1-Day Program

See Credit Details Below


Why You Should Attend

With a new administration and new leadership at the SEC, the private fund industry is bracing for renewed and rejuvenated regulatory and enforcement scrutiny. The increased deployment of capital to growing investment trends, such as digital assets, SPACs, structured products, and ESG investment strategies has drawn heightened government scrutiny. The agenda for this year’s Hedge Fund and Private Equity Enforcement & Regulatory Developments program will help private funds and their in-house and outside counsel prepare for the coming wave of government investigations and regulatory examinations. Panels will feature perspectives from senior government enforcement lawyers, prosecutors, and compliance examiners, together with experienced in-house general counsels and chief compliance officers, as well as expert outside counsel.

Our faculty of experts will deliver insights on the latest government priorities, first-hand experiences from the front lines, as well as strategies to deal with the evolving regulatory priorities and challenges. Attendees will not only gain a better understanding of what is actually going on in the industry but will also learn what they need to do now and what to anticipate in the coming months.

The program will also address the challenging ethical issues that frequently arise when overseeing the legal and compliance function or advising clients in the private fund sector, including the scope of the attorney-client privilege in the context of compliance, and managing the response to whistleblower complaints.

What You Will Learn

  • Discuss the Gensler Commission’s latest enforcement priorities
  • Review the SEC Division of Examinations' focus on private funds
  • Get up to date on government scrutiny of SPACs, sponsors and advisers
  • Regulatory interest in ESG strategies, compliance and disclosures
  • Compliance lessons learned from a year working remotely
  • Learn about CFTC initiatives on cryptocurrencies
  • Analyze the legal ethics rules that dictate how to act in highly volatile markets
  • Social media and meme stocks – what are the legal and ethical issues?

Special Feature

  • Ethics credit available

Who Should Attend

Legal, finance, and compliance professionals operating in the hedge fund and private equity industries with an interest in enforcement, regulatory, and legislative priorities.


Program Level: Overview

Intended Audience: Legal, finance, and compliance professionals operating in the hedge fund and private equity industries.

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

Advanced Prep: None

Credit Details

Schedule & Location

You May Also Like