Practical Compliance for Private Funds: Real-World Advice for theUnique Challenges of Private Fund Advisers
1:00 PM – 3:00 PM
Wednesday, October 10
Mederic Daigneault, Christopher Ainsworth
This workshop is specifically designed to provide a ground-level view of the unique requirements and challenges facing CCOs of private funds. Topics include:
- What does “best execution” mean for investments not traded through brokers?
- How do advertising rules impact a find’s pitchbook or slide presentation?
- How should special-purpose entities be disclosed? Does the adviser’s supervisory authority extend to these entities?
- To what extent should personal trading procedures take into account a fund’s specific investment mandate?
- How can a fund CCO successfully apply rules designed for securities advisers to a fund that does not invest in securities?
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