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privcap

Privcap – Game Change Real Estate 2016

What better way to spend November 2 than in Chicago with the enthusiasm of the Cubs winning game 6 the night before the conference and the historic World Series win that night. I was in the windy city for Privcap Game Change conference for real estate in 2016. The conference was largely focused on real […]

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An Update from the SEC #CFOandCOO

I’m attending the PERE CFOs & CCOs Forum. These are my notes from the session. Bruce Karpati interviewed Igor Rozenblit, Co-head of the Private Fund Unit at OCIE, Securities and Exchange Commission. Of course, Igor’s views are his own and do not necessarily reflect the views of the SEC or the Commissioners. Prior, when Bruce […]

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PERE

Doing Business in Europe Today #CFOandCCO

I’m attending the PERE CFOs & CCOs Forum. These are my notes from the session. Most of the attendees are using private placement to get into Europe, with the rest split between a parallel Europe fund and reverse solicitation. AIFMD arrangements are possible with a third-party who has the AIFMD passport. The non-EU firm acts […]

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Where Are We Now? #CFOandCOO

I’m attending the PERE CFOs & CCOs Forum. These are my notes from the session. Operations are increasingly the difference maker in an environment of declining revenue per AUM. If we are going to be a cost center, we should be the best. International operations takes up a disproportionate amount of time. Investing overseas has […]

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coping with regulatory change

Rapid-Fire, Nuts & Bolts Tips from Former Regulators Now in the Private Sector

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Luis Mejia, Partner, Perkins Coie, Washington, D.C.; Walter Ricciardi, Partner, Paul, Weiss, Rifkind, Wharton & Garrison, New York; and Bruce Karpati, Global CCO/Director, KKR, New York provided their view, now that they are on the other side. You […]

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The Asset Management Unit: Reflecting and Moving Ahead

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Anthony Kelly, Assistant Director, SEC’s Asset Management Unit, shared some of the activities of this part of the Securities and Exchange Commission. For fees, the Unit is looking mis-allocation of private equity fees and expenses and whether the […]

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Discover the Priorities and Perspectives of the Office of Compliance Inspections and Examinations

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Marc Wyatt, Director, SEC’s Office of Compliance Inspections and Examinations, gave his perspective on the priorities that lie ahead for OCIE. Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations last week. He emphasized that […]

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Investment Management: What’s Next on the Rulemaking Front

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are  my brief notes. Norm Champ, Investment Management Law Lecturer at Harvard Law School and former SEC IM Division Director, New York; and Robert Plaze, Partner, Stroock & Stroock & Lavan, Washington, D.C. came ready to talk about a broad range of […]

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Red-Hot SEC Enforcement Priorities

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. William McLucas, Mark Schonfeld and Frank ______ spoke on what is happening on the enforcement side of the Securities and Exchange Commission. The Madoff fraud and the 2008 financial crisis are still driving forces for SEC enforcement. The […]

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coping with regulatory change

Coping With Regulatory Change – Office of Investor Advocate

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Rick Fleming, Director of the Office of Investor Advocate at the Securities and Exchange Commission, started with a keynote. His office and position was created by Dodd-Frank. He currently has a staff of ten people. (One of the […]

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