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 … Read more »
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 … Read more »
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. … Read more »
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, … Read more »
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 … Read more »
Dodd-Frank a year on: Where is the compliance industry now?
These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so excuse the typos. David Smolen, Chief Compliance Officer, Silver Lake Brynn Peltz, Partner, Goodwin Procter LLP Roman A. Bejger, Counsel and Chief Compliance Officer, Providence Equity Partners, LLC Michael Barnes, Senior Manager, Financial Services, Ernst & Young LLP Fund … Read more »
PEI’s Private Fund Compliance Forum
I’m attending PEI’s Private Fund Compliance Forum on Wednesday and Thursday. I plan to publish several posts over the next few days with my notes from the sessions I attend. If you are here at the forum, I look forward to seeing you. Read more »
Are Your Private Fund Employees Licensed?
I think many real estate fund managers and private equity fund managers may be concerned that there are some additional licensing requirements now that they are registered with the Securities and Exchange Commission as an investment adviser. If you didn’t require licensing with your current business model before Dodd-Frank you likely don’t require licensing post-Dodd … Read more »
Compliance Bricks and Mortar – One Heart Boston Edition
One Heart Boston: All proceeds beyond the direct material costs, postage and applicable taxes from the sale of One Heart Boston merchandise will benefit The One Fund Boston, created to raise money to help those families most affected by the tragic events that unfolded during this year’s Boston Marathon. These are some of the compliance-related … Read more »
The First Enforcement Action Under the JOBS Act
I believe the Securities and Exchange Commission has taken its first enforcement action under the JOBS Act. The SEC announced fraud charges against a Spokane Valley, Wash., company and its owner for misleading investors with claims to raise billions of investment capital under the Jumpstart Our Business Startups (JOBS) Act and invest it exclusively in American … Read more »