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.
