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 [...]
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Ensuring compliance in your marketing and solicitation procedures
These are my notes from the Private Fund Compliance Forum 2013. Paula Bosco, Managing Director, Chief Regulatory Counsel & CCO, New Mountain Capital, LLC Abrielle Rosenthal, Senior Principal & Senior Compliance Counsel, TowerBrook Capital Partners L.P. The JOBS Act is going to change things. We just don’t know when or how. However, most people think [...]
What’s on the regulatory horizon and how will it affect your compliance program
These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so please forgive my typos. Christian B. McGrath, Managing Director & General Counsel, GTCR Jason Mulvihill, General Counsel, Private Equity Growth Capital Council Joel Wattenbarger, Partner, Ropes & Gray LLP Broker-dealer regulation in connection with the sale of private fund [...]
Day One at PEI’s Private Fund Compliance Forum
These are my notes from the various sessions at the Private Fund Compliance Forum 2013. Dodd-Frank a year on: Where is the compliance industry now? What to expect from the SEC in the year ahead Conducting your annual review to ensure compliance Successfully managing the resources of your office Impact of Foreign Regulations on Private [...]
The SEC is coming! The SEC is coming!
These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so please excuse my typos. One thing that this past year has shown us is that at some point or another, sooner rather than later, the SEC will come knocking. This session will show you how to effectively prepare for [...]
What does the CFTC have to do with private equity?
These are my notes from the Private Fund Compliance Forum 2013. They are live from the Forum so please forgive my typos. Robert E. Phay, Jr., Associate General Counsel & Chief Compliance Officer, Commonfund The common sense answer should be “nothing”. But that does not seem to be the case. The CFTC seems to be [...]
Impact of Foreign Regulations on Private Equity Firms Doing Business Abroad
These are my notes from the Private Fund Compliance Forum 2013. They are live from the forum, so please excuse my typos. James V. Gaven, Senior Compliance Counsel,Welsh, Carson, Anderson & Stowe Alan K. Halfenger, Chief Compliance Officer, Bain Capital LLC Greg Pusch, SVP, Director of Global Regulatory Compliance & CCO, HarbourVest Partners, LLC The [...]
Successfully managing the resources of your office
These are my notes from the Private Fund Compliance Forum 2013. They are live notes from the forum, so please forgive my typos. Jason E. Brown, Partner, Ropes & Gray LLP Reuben B. Ackerman, Chief Compliance Officer, Berkshire Partners LLC Terry E. Everett, Chief Financial Officer & Chief Compliance Officer, Rockland Capital, LLC Daniel H. [...]
Conducting your annual review to ensure compliance
These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so please forgive the typos. Brian Kawakami, Partner, Ascendant Compliance Management Charles Lerner, Principal, Fiduciary Compliance Associates LLC, and Editor, The US Private Equity Fund Compliance Guide and The US Private Equity Fund Compliance Companion Jim O’Connor, Chief Compliance Officer, [...]
What to expect from the SEC in the year ahead
Carlo V. di Florio, Director, United States Securities and Exchange Commission, Office of Compliance Inspections and Examinations I expect the full text of his remarks will be published in the next few days, but these are my notes. They are live from the forum, so please excuse the typos. It’s been a busy year for [...]
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