Regulatory Compliance Association Reviews

Practical Insights into Marketing & Distributing your Private Fund in the Current Regulatory Environment

Practice Edge 02

Date: September 24, 2015
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

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This course will address current hot topics applicable to private fund managers marketing their private funds both in the U.S., Europe and the Middle East (TBD).

The speaking faculty will discuss the following topics:

1. Broker-dealer issues surrounding sales, marketing and investor relations staff; and
2. use of third party marketers and finders; and
3. the effect of the JOBS Act and the pros and cons of general solicitation thereunder;and
4. how the AIFMD is affecting marketing and distribution practices employed by U.S. fund managers;and
5. other issues for U.S. managers looking to raise capital in the Middle East.

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

  • Recognize and address current topics surrounding personnel that market funds, both inhouse and external.Focusing on recent SEC examinations and enforcement actions.
  • Identify and comprehend the practical hurdles relevant to those private fund managers desirous of engaging in general solicitation in reliance on the recently revised Rule 506(c) of Regulation D under the Securities Act.
  • List the key issues that every U.S. fund manager should know about the AIFMD.
  • Recognize and discover the new emerging issues and trends in marketing to Middle Eastern investors.
  • Ascertain and address how to balance full and complete disclosure in fund documents while still staying attune to marketing concerns. Focusing on recent SEC actions surrounding lack of disclosure in fund documents, conflicts of interest and expense allocation.

Session Chairman:

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

Senior Fellow from Practice:

Drew G.L. Chapman, LL.M, Partner, King & Spalding

Guest Lecturers:

Angela Hayes, Partner, London Office, King & Spalding
John Roth,JD, LLM, General Counsel & CCO, Venor Capital Management
Phillip Charles Sacks, Partner, Dubai Office, King & Spalding

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