The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds. This program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.
The list of risk areas continues to grow, with examiners and enforcement staff focusing scrutiny on – valuations of illiquid positions, cybersecurity, disruptive trading practices, conflicts of interest, allocation of fees, expenses and investment opportunities among funds, sources and usage of “big data,” virtual currencies and anti-corruption and anti-money laundering. As the regulators’ and prosecutors’ expertise, sophistication and data analytic skills mature, so does their use of in-house industry experts and whistleblowers.
In addition to managing examinations by the SEC’s Private Funds Unit, private funds face continued scrutiny by the CFTC, NFA, Department of Justice and New York State Attorney General’s Office of Investor Protection. Attend this program to gain valuable insights into current and anticipated enforcement, regulatory, legislative and compliance priorities and how best to deal with them.