1-Day Program

See Credit Details Below

Overview

Why You Should Attend

PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on a tradition as one of PLI’s first programs of the new year to review the private fund regulatory landscape, offering a first look at what the balance of the calendar will bring.  Led by an expert faculty of private fund in-house counsel and leading firm lawyers, the discussion is always lively and informative.

 The 2019 program starts with a review of derivatives-related compliance challenges, including an overview of the NFA’s 2019 hot button issues along with recent enforcement actions.  The agenda also includes a practical discussion among private fund general counsel and the issues they grapple with now and are anticipating in the near future.  Finally, an in-depth analysis of the major compliance challenges for SEC-regulated funds rounds out the program.  Examination priorities will be addressed, along with many recurring compliance concerns, such as valuation and marketing. 

 

What You Will Learn  

  • Review recent private fund enforcement actions and proposed regulation
  • Hear about current NFA exams and CFTC enforcement actions
  • Discover the NFA’s 2019 Hot Button issues
  • Discuss in-house counsel concerns including digital assets, cybersecurity and electronic communications
  • Learn the SEC’s 2019 private fund examination priorities
  • Discuss performance marketing and advertising

 

 Special Features

  • Convenient half-day format

 

Who Should Attend

Attorneys and compliance professionals operating in the hedge fund and private equity industry should find this program enlightening and informative.

Program Level: Overview

 

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 background in the preparation of public reporting and disclosure documents, particularly with respect to drafting and reviewing MD&A.

 

Advanced Preparation: None 

Credit Details

Schedule & Location