Day Two at PEI’s Private Fund Compliance Forum

PEI PFC Forum 2013

These are my notes from the Thursday sessions at PEI Media’s Private Fund Compliance Forum 2013.

The Day started out with a closed door session called the CCO Think Tank. Since the doors were closed, I’m not going to share any specific notes.

The public sessions:

What’s on the regulatory horizon and how will it affect your compliance program

Panel members:
Christian B. McGrath, Managing Director & General Counsel, GTCR
Jason Mulvihill, General Counsel, Private Equity Growth Capital Council
Joel Wattenbarger, Partner, Ropes & Gray LLP

How technology can improve your compliance process

Jacqueline M. Giammarco, Esq., Chief Compliance Officer, Stone Point Capital
Stephen Pope, East Regional Sales Manager, Smarsh
Shawn Pride, Partner, Ernst & Young LLP
Arthur Zuckerman, Chief Operating Officer, Chief Compliance Officer & Partner, Avista Capital Partners

Ensuring compliance in your marketing and solicitation procedures

Paula Bosco, Managing Director, Chief Regulatory Counsel & CCO, New Mountain Capital, LLC
Abrielle Rosenthal, Senior Principal & Senior Compliance Counsel, TowerBrook Capital Partners L.P.

You can also see my notes from Day One at PEI’s Private Fund Compliance Forum.

The Forum was a great event for compliance professionals at private funds. The issues at funds does differ significantly than it does for retail investors. There was a strong showing from private equity and real estate fund managers.

Like any good conference, the interactions outside the formal programs was even more useful.