Hedge Fund and Private Equity Enforcement & Regulatory Developments 2019: PLI Boston Groupcast

  • Product Number: 2200057VC1
  • CLE Credits, earn up to:
    7 substantive credits, 0 ethics credits CLE Credit Note
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  • Product Description
  • Agenda & Materials
  • Pricing
  • Product Description

    Product Description

    The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds. As such, attorneys need to stay on top of the notable trends and developments impacting the hedge fund and private equity industry Every year, the Hedge Fund and Private Equity Enforcement & Regulatory Developments program takes a broad view of the industry, taking account of what the regulatory and enforcement priorities were and how the year actually played out. This year’s program will continue the tradition, bringing leading regulatory perspectives together with in-house and firm counsel to deliver a comprehensive review of the year that was, its practical takeaways and what may be on the horizon for the industry.

    Attorneys practicing in the hedge fund and private equity arena, as well as legal, compliance and related professionals interested in the practice, should attend to hear analysis on dealing with current and anticipated enforcement, regulatory, legislative and compliance priorities.   

    What You Will Learn

    • Current SEC, CFTC and other government hedge fund and private equity enforcement and examination priorities
    • Improving your firm’s compliance program and managing regulatory risk
    • Preparing for examinations by the SEC’s Private Fund Unit
    • Regulatory issues confronting crypto currencies

    Special Feature

    • Ethics credit available


    Program Level: Overview

    Intended Audience: Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative.

    Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry. 

    Advanced Prep: None

  • Agenda

    Agenda & Materials

    • 9:00 AM EDT

      Opening Remarks

    • 9:15 AM EDT

      Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective

      SEC Oversight of Private Funds - enforcement and new initiatives Criminal perspectives and prosecutions CFTC enforcement priorities and disruptive trading practices in the private fund space NYAG enforcement trends involving hedge funds and private equity Strategies for avoiding and successfully resolving enterprise-critical investigations
    • 10:15 AM EDT

      SEC Inspections and Examinations of Private Hedge and Equity Funds

      SEC’s National Exam Program and Private Funds Unit – exam findings and priorities Proactive approach to the exam process and new strategies Relationships with affiliates Attorney client privilege in the exam context and the perils of multiple hats Turning up the heat on compliance professionals?
    • 11:15 AM EDT

      Networking Break

    • 11:30 AM EDT

      Emerging Technology – Crypto Assets; Big and New Forms of Data; and Regulatory

      Crypto Funds and Trading Crypto Assets Regulatory issues confronting crypto currencies Expanded capacity of regulators to use big and alternative data in investigations Compliance issues accompanying the use of data vendors, use of big data and new types of expert networks
    • 12:30 PM EDT


    • 1:45 PM EDT

      Hot Button Enforcement Issues for Private Funds

      The Clayton SEC – what has changed and what remains the same FINRA oversight of marketing and sales of hedge funds Disclosure of fees and allocation of costs Cybersecurity issues for private funds Kokesh – what it means in practice and issues on the horizon
    • 2:45 PM EDT

      Establishing an Effective Hedge and Private Fund Compliance Program

      Overview of compliance issues and regulatory expectations Identifying and managing conflicts of interest Valuation challenges Electronic communications and cybersecurity Trading and best execution practices
    • 3:45 PM EDT

      Networking Break

    • 4:00 PM EDT

      Thorny Hedge Fund Hypotheticals - Ethical Issues

      What ethical issues should lawyers consider when dealing with multiple representation and conflicts of interest? Understand the ethical traps of when “insider tainting” becomes “insider trading” and know how to avoid them What are the ethics rules when dealing with cryptocurrencies? What are the ethical issues that will trigger regulatory reach when dealing with cryptocurrencies? How to improve your ethics programs to cover whistleblowers and anti-retaliation protections Short and distort and free speech: when are the rules of legal ethics triggered?
    • 5:00 PM EDT


    Please Note

    MCLE webcasts are delivered completely online, underscoring their convenience and appeal. There are no published print materials. All written materials are available electronically only. They are posted 24 hours prior to the program and can be accessed, downloaded, or printed from your computer.

  • Pricing


    • $1,995.00 - All Registrants