Tag: Private Fund Compliance Forum 2012

A New Era of Fundraising and Marketing

These are my notes from the a New Era of Fundraising and Marketing session at the Private Fund Compliance Forum 2012. Panel Members: Julia D. Corelli, Partner, Pepper Hamilton LLP Kurt A. Krieger, Legal Director, Huntsman Gay Global Capital, LLC Jason Ment, Partner, General Counsel & Chief Compliance Officer, StepStone Group LLC Helane L. Morrison,

Insider Trading and Restricted Lists

These are my notes from the “Insider trading and restricted lists” session at the Private Fund Compliance Forum 2012. Two items affect insider trading: federal securities law (10b5) and a firm’s code of ethics under the Investment Advisers Act. The panelists do not circulate a restricted list. The SEC will ask for the restricted list

Conducting an Effective Annual Review

These are my notes from the “Conducting an effective annual review” session at the Private Fund Compliance Forum 2012. Moderator: Charles Lerner, Editor, The US Private Equity Fund Compliance Guide and The US Private Equity Fund Compliance Companion & Principal, Fiduciary Compliance Associates LLC Panel Members Nicholas Denton-Clark, Managing Director & Chief Compliance Officer, PineBridge

Keynote interview – Working with the SEC

These are my notes from the “Keynote interview – Working with the SEC” session at the Private Fund Compliance Forum 2012. H. David Kotz, former Inspector General, Office of the Inspector General, United States Securities and Exchange Commission (2007-2012), currently Managing Director, Gryphon Strategies, interviewed by Lois Towers, Principal, Pantheon Ventures Discussed the Madoff debacle

Mock Audit: Successfully Maneuvering Your Way Through an SEC Exam

These are my notes from the “Mock Audit: Successfully maneuvering your way through an SEC exam” session at the Private Fund Compliance Forum 2012. These are my raw notes, so please excuse the typos and rambling. Moderator:  Ted Eichenlaub, Partner, ACA Compliance Group Panel Members: John P. Malfettone, Senior Managing Director, Chief Operating Officer &

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

Improving your compliance program through the use of technology

These are my notes from the Improving your compliance program through the use of technology session at the Private Fund Compliance Forum 2012. Moderator: Graham Winfrey, Staff Writer, PEI Media Panel Members: Jeff Faber, Chief Financial Officer, Trafelet & Company, LLC Stephen Marsh, Founder & CEO, Smarsh Scott Ring, General Counsel, Bessemer Venture Partners Based on

Update on the new regulations and how they will impact you going forward

These are my notes from the “Update on the new regulations and how they will impact you going forward” session at the Private Fund Compliance Forum 2012. Excuse the typos and rambling nature. They are just my raw notes. Moderator: Karen Barr, General Counsel, Investment Adviser Association Panel Members: Jason E. Brown, Partner, Ropes &

Best practices for addressing anti-corruption issues

These are my notes from the “Best practices for addressing anti-corruption issues” session at the Private Fund Compliance Forum 2012. Moderator:  Douglas N. Greenburg, Partner & Vice Chair of the Global Litigation Department, Latham & Watkins LLP Panel Members: Edina Cavalli, Director, Global Head of Private Equity and Principal Investments Compliance, Barclays Paul Golding, General Counsel,

A view from the SEC

These are my notes from the “A view from the SEC” session at the Private Fund Compliance Forum 2012. This session will provide you with in-depth analysis of how the SEC is dealing with new registrants. SEC officials will answer your most pressing questions to help you ensure an efficient compliance program. Carlo V. di