6-Hour Program

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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 

Credit Details