PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on a tradition as one of PLI’s first programs of the new year to review the private fund regulatory landscape, offering a first look at what the balance of the calendar will bring. Led by an expert faculty of private fund in-house counsel and leading firm lawyers, the discussion is always lively and informative.
The 2019 program starts with a review of derivatives-related compliance challenges, including an overview of the NFA’s 2019 hot button issues along with recent enforcement actions. The agenda also includes a practical discussion among private fund general counsel and the issues they grapple with now and are anticipating in the near future. Finally, an in-depth analysis of the major compliance challenges for SEC-regulated funds rounds out the program. Examination priorities will be addressed, along with many recurring compliance concerns, such as valuation and marketing.
What You Will Learn
- Review recent private fund enforcement actions and proposed regulation
- Hear about current NFA exams and CFTC enforcement actions
- Discover the NFA’s 2019 Hot Button issues
- Discuss in-house counsel concerns including digital assets, cybersecurity and electronic communications
- Learn the SEC’s 2019 private fund examination priorities
- Discuss performance marketing and advertising
- Convenient half-day format
Who Should Attend
Attorneys and compliance professionals operating in the hedge fund and private equity industry should find this program enlightening and informative.
Program Level: Overview
Intended Audience: In-house counsel, outside attorneys, board members, corporate officers, and other allied professionals responsible for the preparation of public reporting and disclosure documents, particularly with respect to drafting and reviewing MD&A.
Prerequisites: A background in the preparation of public reporting and disclosure documents, particularly with respect to drafting and reviewing MD&A.
Advanced Preparation: None
PLI Group Discounts
Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact email@example.com or call (800) 260-4PLI.
PLI Can Arrange Group Viewing to Your Firm
Contact the Groupcasts Department via email at firstname.lastname@example.org for more details.
All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.