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nrs conference

Off to the NRS Conference

I’m off to sunny Scottsdale to attend my first NRS Fall Compliance Conference. If you are also attending, try to find me and I’ll buy you a cup of coffee (or at least head to the coffee urn with you). I’m speaking on Wednesday afternoon on Issues in Private Fund Management with John Walsh, from […]

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nrs compliance conference

NRS 29th Annual Compliance Conference

I’m trying out a new compliance conference this fall: the NRS 29th Annual Fall Investment Adviser & Broker-Dealer Compliance Conference. I have to admit that I’m attending mostly because they asked me to speak. My session is on Issues on Private Fund Management on Day Two. One of the challenges of staying up-to-date on compliance […]

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private fund compliance forum

Private Fund Compliance Forum 2014

On May 6 and May 7, I’ll be in New York for PEI’s Private Fund Compliance Forum. Let me know if you’ll be there. If you haven’t signed up yet, PEI was nice enough to offer a 15% discount to readers of Compliance Building. Use the promo code PFC14_CB. Agenda Update on the current trends […]

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PERE CFO Forum 2013

I spent most of yesterday in New York at PERE’s CFO Forum. I came to speak about the evolution and revolution of regulation in the private equity real estate industry. I thought I would share a few items. The opening panel focused on the changing role of the Chief Financial Officer. A big change is […]

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pei media

The Role of Social Media in the Compliance World

These are the speaking notes from this session at PEI’s Private Fund Compliance Forum 2012. Panelists: Me Gerry Esposito, Managing Director, CFO & CCO Newbury Partners LLC Audience Polls Registered with the SEC as investment advisers? How many just registered in the last few months (been Dodd-Franked)? Also registered as broker-dealers? (We are not covering FINRA […]

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pei media

PEI’s Private Fund Compliance Forum

I’m attending Private Equity International’s Private Fund Compliance Forum. This is the third edition of forum. Last year focused on the steps leading up to registration with SEC as an investment adviser. This year, the forum is supposed to focus on what to expect in the first year of SEC registration and beyond. I’m part […]

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enterprise 2.0

Enterprise 2.0 – Regulatory and Compliance Concerns

I’m once again speaking at the Enterprise 2.0 Conference. Social Media & Social Networking: Some Cautionary Tales (Location: Room 312) Social media (Twitter, LinkedIn) and enterprise social networking solutions (profiles, activity streams, social analytics) can deliver compelling business value. However, benefits do not come without risks. This panel discussion with experts and practitioners will provide […]

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private fund compliance forum

Private Fund Compliance Forum

Thousands of private equity firms are scrambling to meet the July deadline to register with the SEC. New disclosure rules are being proposed for private equity managers with more than $1bn in assets. PEI Media is producing its second annual PEI Private Fund Compliance Forum 2011 to help prepare you prepare for the new wave […]

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Have you been Dodd-Franked?

On Thursday, December 2nd, 2010, I will be part of panel discussing some of the effects of the Dodd-Frank Wall Street Reform and Consumer Protection Act on real estate investment management firms. The session is open to the public, but not free. Panelists John Schneider, Principal, KPMG LLP Paul D. Schwartz, Partner, Goodwin Procter LLP […]

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