Regulatory Compliance Association Reviews

Focus on SEC Regulatory Compliance and Enforcement Priorities for Private Funds™

Practice Edge 02

Date: February 23, 2016
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours)? Attend via the RCA’s Online University (On Demand) — free for Practice Edge Elite Members

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Over the last few years, the asset management industry has experienced significant regulatory and structural changes. 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. The SEC is constantly updating its inspection strategies with respect to private funds, and the enforcement actions in both the private equity and hedge fund space focusing on conflicts of interest and disclosure creates a framework for asset managers to consider in reviewing their legal and compliance obligations.

The session will focus on compliance for private equity and hedge funds, SEC examination priorities and preparedness and managing risk.

Students will master the following at the conclusion of this session:

  • Identify actions to be considered by private funds in connection with ongoing regulatory compliance
  • Comprehend the SEC focus on conflicts of interest and other SEC examination priorities
  • Analyze recent SEC speeches and areas of focus – the role of CCOs and cybersecurity
  • Recognize the importance of SEC preparedness and involvement of management
  • 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, Fund Formation & Investment Management Group, Chadbourne & Parke

Guest Lecturers:

Larry Block, JD, Managing Director, CCO, Island Capital Group
Kathy Glass, Chief Administrative Officer, W Capital
Scott Naidech, JD, Partner, Chadbourne & Parke

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