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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.
Why You Should Attend
An expert faculty featuring in-house, regulatory and outside counsel will address new and ongoing regulatory and compliance issues for legal and compliance professionals in the hedge fund and private equity fund industry.
The agenda will address regulatory exam priorities, the challenges of designing and implementing a compliance program and preparing for an examination and practical insights from the regulatory and in-house perspective. The program will deliver a complete discussion in a short time, focusing on sharing key takeaways from a broad range of legal perspectives.
What You Will Learn
• Regulatory developments for hedge funds and other private funds
• Implementation challenges of compliance programs
• SEC and NFA examination priorities and other compliance challenges
• Practical tips for managing risk
Who Should Attend
Attorneys, corporate officers and directors, and compliance professionals in the hedge fund and private equity industry should find this program enlightening and informative.
Special Features: Convenient half-day format
Program Level: All Levels
Intended Audience: In-house counsel, outside attorneys, board members, corporate officers, and other allied professionals responsible for the preparation of public reporting and disclosure documents, particularly with respect to drafting and reviewing MD&A.
Prerequisites: A basic knowledge of regulations affecting the private fund industry.
Advanced Preparation: None