Regulatory Compliance Association Reviews

SEC Regulatory Compliance and Enforcement Priorities for Private Funds

LIVE EVENT

Date: April 16, 2019
General Session: 8:00 AM to 9:30 AM breakfast
Location: 200 Park Avenue New York, NY 10166
* Located within the Metlife Building

REGISTER NOW

Description

The Winston & Strawn LLP and the Regulatory Compliance Association cordially invite you to a session hosted by Winston. 
The SEC and its Office of Compliance Inspections and Examinations (OCIE) continues its focus on the private fund industry.
OCIE is constantly updating its inspection strategies with respect to private funds, and enforcement actions continue to place primary emphasis on conflicts of interest and disclosure obligations of private fund sponsors.

Learning Objectives:

The session will focus on compliance practices for private equity and hedge funds. It will highlight the following:

  • Actions to be considered by private funds in connection with ongoing regulatory compliance;
  • SEC focus on advertising, conflicts of interest and other SEC examination priorities;
  • SEC focus on cybersecurity and the role of CCOs;
  • The importance of SEC preparedness and involvement of management.

One New York transitional/non-transitional CLE credit will be available to program participants.

CLE
Winston & Strawn LLP is an accredited CLE provider in California, Illinois, New York, and Texas.

Sponsor:

Winston & Strawn LLP

Fund Formation & Investment Management Group

Session Chairman:

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

Senior Fellow from Practice:

Beth Kramer, JD, Partner, Winston & Strawn LLP

Faculty:

Scott Naidech, JD, Partner, Winston & Strawn LLP
James Hartmann, Managing Director, CCO, Arena Investors LP

Register Now