MCLE is Closed Monday January 21, 2019 in Honor of Martin Luther King Jr.
PLI Groupcast

Private Fund Regulatory Developments & Compliance Challenges 2019: PLI Boston Groupcast

Investing, Trading and Doing Deals in a Dynamic World 2019

Thursday, 1/31/2019, 1:00 pm–5:15 pm
MCLE Conference Center, Ten Winter Place, Boston
4 substantive credits, 0 ethics credits
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Product Description

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


 Special Features

  • 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 or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at 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.

1:00 pm
Opening Remarks and Introduction
1:15 pm
Derivatives-Related Regulatory Developments and Compliance Challenges
2:30 pm
Networking and Refreshment Break
2:45 pm
Private Fund General Counsels’ Roundtable
4:00 pm
Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds

Table of Contents



  • $895.00 - All Registrants
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