Real Estate Fund CCO Forum


We are starting a new forum for real estate fund compliance managers in New York. The first meeting is noon on July 24 near Chelsea Market.


The Boston group of real estate fund compliance professionals will meet again in September after taking the summer off.


The groups meet to discuss the issues that are particular to real estate funds post Dodd-Frank. We have moved past the register or non register discussions. (At least most of us have.) Here are some of the topics for the agenda:

  • Who are your access persons (entire company, a smaller subset, just the managing directors/executives)?
  • Are you getting brokerage statements or just having employees attest to the securities that they do have by providing a brokerage statement or listing the required security information on a separate sheet of paper?
  • Do you use any technology to assist in the compliance duties (certificate database, security software, email archiving, social media tracking etc.)?
  • Are you using a third party consultant?  If so, what are they doing for you?
  • Who is doing your required annual training?
  • How are you keeping up with current compliance news relating to real estate?

The meetings operate under the Chatham House Rule. So that discussion can be open without concern that any position would be attributed to you personally or your firm.

If you are interested in joining either (or both) of the group you can reach me at I can send you more detailed information.