Regulatory Challenges for Private Funds Including Issues for Multi-strategy Funds
Private fund managers face many regulatory challenges that differ from other types of investment advisers. This seminar is designed to help compliance, legal and management professionals stay informed about recent and current regulatory priorities and initiatives affecting private and hedge fund management firms. The presentation will also provide information about industry best practices and SEC examination focus areas, including practical tips and summaries of recent notable cases.
Topics, among others, to be discussed include:
- Insider trading developments
- Allocation of investment opportunities
- SEC examiners’ concerns regarding private fund / equity managers
- Custody relief for privately offered securities
- Conflicts of interests
- Cybersecurity risks
- Valuation issues
After completing this course attendees should be able to:
- Review insider trading enforcement actions to pinpoint issues and risks specific to private funds
- Use compliance best practices to refine conflicts of interest disclosures and enhance policies and procedures for allocation processes
- Identify SEC exam focus areas to help private / equity funds prepare for presence exams
- Determine why cybersecurity risks are of special concern to private funds
- Assess the firm’s valuation processes to prevent compliance violations and protect the interests of the fund’s investors
For whom: Designed to increase the professional competence of private fund compliance professionals with legal, compliance, operations, technology and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Prerequisites for participation: No prerequisites are required.
Advance Preparation: None.
Continuing Education Credits:
NRS Continuing Education Guide
Maximum recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum recommended IACCP® CE Credit: 2
Maximum recommended CA MCLE Credit: 2
Maximum recommended CFP Credit: Pending