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
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.
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.
Winston & Strawn LLP is an accredited CLE provider in California, Illinois, New York, and Texas.
Winston & Strawn LLP
Fund Formation & Investment Management Group
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association
Senior Fellow from Practice:
Beth Kramer, JD, Partner, Winston & Strawn LLP
Scott Naidech, JD, Partner, Winston & Strawn LLP
James Hartmann, Managing Director, CCO, Arena Investors LP