Regulatory Compliance Association Reviews

Meeting 2018 Compliance Challenges


Date: June 19, 2018
General Session: 12:00 PM ET to 1:30 PM ET
Location: Webcast (Free)

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Over the last few years, the asset management industry has experienced significant regulatory and structural changes. Under Rule 206(4)-7, SEC-registered advisers are required to have in place a compliance program reasonably designed to comply with the Advisers Act and to review, no less frequently than annually, the adequacy of their policies and procedures and the effectiveness of their implementation. The SEC has increased its focus on the private fund industry since private equity funds and hedge funds were required to register as investment advisers pursuant to Dodd-Frank, and its increased focus will impact an adviser’s annual review process.

The session will focus on compliance for private equity and hedge funds, SEC examination priorities and preparedness and how firms can meet 2018 compliance challenges through upgrading controls, analytics, testing and reviews. The session will highlight the following:

  • Conducting risk assessments to identify risks to firms and client accounts
  • Modifying the firm’s current policies and procedures to address new identified risks
  • Annual reviews
  • Summary of testing – types of tests to perform
  • SEC examination priorities and areas of focus
  • The importance of SEC preparedness and involvement of management
  • Actions to be considered by private funds in connection with ongoing regulatory compliance
  • Reviewing filing obligations and annual reviews
  • Reviewing filing obligations and annual reviews

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Beth Kramer, JD, Partner, Winston & Strawn

Guest Lecturer

Irshad Karim, JD, GC & CCO, Lion Point Capital
Sandra Forman, JD, CCO Registered Funds, Colony NorthStar Inc.
Antonella Puca, CFA, CIPM, CPA, Director, Professional Standards, CFA Institute
Heather Traeger, JD, CCO, Teacher Retirement System of Texas
Janine Diljohn, JD, CCO, HQ Capital

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