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Private Fund Compliance Considerations

July 16, 2021
10:45 AM - 12:45 PM CDT
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Course Description:

Private fund managers face many regulatory challenges that differ from other types of investment advisers. This session is designed to help compliance, legal and management professionals stay informed about recent and current regulatory priorities and initiatives affecting private fund managers. The session 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:

  • Private fund marketing
  • Allocation of investment opportunities
  • SEC examiners’ concerns regarding private fund / equity managers
  • Allocation of fees and expenses
  • Custody relief for privately offered securities
  • Conflicts of interests
  • Valuation issues

This virtual course is being taught as part of the July Investment Adviser Professional Development Symposium.

After attending this session, 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 regulatory 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

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For Whom: Chief Compliance Officers, Management, Compliance Staff at all levels. Legal counsel, Operations Personnel, Trading personnel

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

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