1-Day Program

See Credit Details Below


Why You Should Attend

According to at least one SEC Commissioner, the SEC is waging a “war on private funds.” This program is an essential roadmap to preparing private funds for conducting business under a regulatory and law enforcement spotlight.

This year’s program will provide valuable, up-to-the-minute insight into the latest regulatory developments encountered by attorneys and compliance professionals working with hedge funds and private equity funds. The program will help attendees prepare strategies for navigating the enhanced risk of government investigations and leverage the insights from lessons learned by those on the front line of compliance.

Our faculty includes experts representing a wide range of perspectives – government prosecutors, regulatory enforcement and examination leadership, in-house and outside counsel, chief compliance officers and compliance consultants. The faculty will share their insights on the latest government priorities and will provide tangible guidance for dealing with the evolving regulatory landscape. Discussions will take an in-depth look at current enforcement priorities, latest trends for private funds, and the evolving issues in trading (including shadow insider trading and block trading), regulatory reporting, disclosures, and conflict management and electronic communications recordkeeping obligations for private funds.

The program will also address the challenging legal ethics issues that frequently arise when overseeing the legal and compliance function or advising clients in the private fund sector.

What You Will Learn

After completing this program, participants will be able to:

  • Better understand the SEC’s focus on trading, valuation, disclosure, fees, and conflicts of interest
  • Establish a compliance program for hedge funds and private equity funds that best addresses the current market
  • Anticipate issues of risk during an examination
  • Gain insight into the heightened prosecutorial emphasis on private funds

Who Should Attend

Attorneys and compliance professionals practicing in the hedge fund and private equity industries.

Program Level: Overview

Prerequisites: None

Advanced Preparation: None


Credit Details

Schedule & Location

You May Also Like