Maintain compliance in a shifting regulatory environment

With increasing responsibilities, investor demands and regulatory requirements, CFOs and CCOs are wearing multiple hats while navigating an evolving regulatory environment.

The Private Fund Compliance Fall Forum is poised to examine what senior finance and compliance professionals are balancing in order to meet investor and regulatory demands. Attendees will discuss what should be on the radar for CFOs and CCOs and what has impacted the private fund industry thus far and what to expect in the years to come.

The Forum provides a platform for private equity and venture capital CFOs and CCOs to come together to discuss where finance and compliance roles intersect and the strategies for approaching emerging issues and evolving responsibilities.

Key topics to be covered at the event:

  • Cybersecurity
  • SEC exams
  • Fee and expense allocations
  • Conflicts of interest, valuations
  • How to grow your firm

Why attend the Forum?

Explore critical changes
Learn about the latest approaches for mitigating risk and managing the firm’s compliance program.

Connect with the industry
Join 125+ finance and compliance professionals to discuss how to effectively manage their dual-hatted functions. Build relationships that last through the networking breaks and lunches.

CCO and GC hot topics
Discover new ways to deal with conflicts of interest, cybersecurity, tax changes, expense allocations and valuations.

Learn about the new leadership and priorities at the Division of Examinations

Hear directly from the SEC

What our attendees say about the event

Noah Becker

CFO, LLR Partners

Very well done and good mix of topics and speakers.

David Ludwig

Director Business Development, Vistra

Good conference, lot’s of C-level exec’s. The outsourcing breakout session was excellent!

Bryan Hiller

Business Development Executive, Kroll

Excellent group of participants highly engaged throughout.

Satisfy your annual CLE & CPE requirements at this year’s Forum

PEI is registered with the National Association of State Boards of Accountancy
(NASBA) as a sponsor of continuing professional education on the National Registry
of CPE Sponsors. State boards of accountancy have final authority on the acceptance
of individual courses for CPE credit. Complaints regarding registered sponsors may
be addressed to the National Registry of CPE Sponsors through its website: www.
NASBARegistry.org.

2021 sponsors

PEI’s Private Fund Compliance Fall Forum offers a unique opportunity for providers to engage and connect with senior compliance professionals in the private equity sector through thought leadership, networking, and more.

For exclusive sponsorship packages for 2021, contact Tyler Mitchell at tyler.m@peimedia.com call +1 646 795 3279.

SATISFY YOUR CONTINUING EDUCATION CREDIT REQUIREMENTS

Earn CPE and CLE credits

To earn CPE or CLE credits for attending the Private Fund Compliance Spring Forum 2021, you must view conference sessions when presented live, at specified scheduled times in their entirety, for applicable sessions where credits will be offered.

You will not be eligible to receive credits for sessions viewed through on-demand after the live session has concluded.

Earn up to 6.6 CPE credits

Earn up to 6.6 Continuing Professional Education (CPE) credits at this year’s Private Fund Compliance Spring Forum. PEI is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.

Earn up to 6.25 CLE credits


Agenda

Interested in speaking at the Forum in 2021? Please contact Erin Wolfe at Erin.Wolfe@peimedia.com.

*Please Note: All session times listed are in Eastern Time (EDT)

Day 1 Day 2
View agenda page

Agenda

Day 1 - Tuesday 9th

Plenary session
09:30 - 10:00

Women’s Networking Roundtable

Marian Fowler

Panelists:
Marian Fowler, Partner, Investment Funds Regulatory Solutions Group, Kirkland & Ellis

A speaker photo for Marian Fowler

Marian Fowler

Partner, Investment Funds Group (Regulatory), Kirkland & Ellis

Read bio
10:00 - 10:10

PEI Welcome

Erin Wolfe

Erin Wolfe, Senior Conference Producer, PEI

A speaker photo for Erin Wolfe

Erin Wolfe

Senior Conference Producer, PEI Media

Read bio
10:10 - 11:00

SEC’s Opening Keynote Interview

Jennifer Conwell, Jennifer Duggins

Panelists:
Jennifer Conwell, Senior Member, Private Funds Unit, Securities and Exchange Commission
Jennifer Duggins, Assistant Director – Co-Head Private Funds Unit, U.S. Securities and Exchange Commission

Jennifer Conwell headshot

Jennifer Conwell

Senior Member, Private Funds Unit, U.S. Securities and Exchange Commission

Read bio
Jennifer Duggins SEC

Jennifer Duggins

Assistant Director, Co-Head Private Funds Unit, U.S. Securities and Exchange Commission

Read bio
11:00 - 11:40

The SEC’s Climate and ESG Task Force: Preparing for Increased Scrutiny

Jason Brown, Eugenie M. Cesar-Fabian, Bruce Karpati, Andrew Prodromos, Jordan Stutts
  • What are the most common compliance issues relating to funds’ ESG strategies?
  • How to monitor ESG compliance
  • Avoiding material gaps or misstatements in disclosures of climate risks

Panelists:
Jason Brown, Partner, Ropes & Gray
Eugenie
M. Cesar-Fabian, Partner/General Counsel/CCO, Palladium Equity Partners
Bruce Karpati, Global Chief Compliance Officer and Counsel, KKR
Andrew
Prodromos, Deputy General Counsel and Chief Compliance Officer, Insight Partners

Moderator:
Jordan Stutts, Senior Reporter, New Private Markets

 

 

A speaker photo for Jason  Brown

Jason Brown

Partner, Ropes & Gray

Read bio
A speaker photo for Eugenie M.  Cesar-Fabian

Eugenie M. Cesar-Fabian

Partner, General Counsel, CCO, Palladium Equity Partners, LLC

Read bio
A speaker photo for Bruce Karpati

Bruce Karpati

Partner, Global Chief Compliance Officer & Counsel, KKR

Read bio
A speaker photo for Andrew Prodromos

Andrew Prodromos

Deputy General Counsel and Chief Compliance Officer, Insight Partners

Read bio
A speaker photo for Jordan Stutts

Jordan Stutts

Senior Reporter, New Private Markets

Read bio
11:40 - 12:20

Private Fund Compliance Data Privacy & Governance

Kelly Pettit, Joel Wattenbarger
  • Types of risks facing private equity fund managers in terms of their data privacy and cyber security
  • Risks in terms of how data are shared and used
  • Protecting high quality data throughout the lifecycle of that data
  • Complying with privacy and security regulations
  • Cybersecurity concerns
    • Ransomware attacks

Panelists:
Kelly Pettit, Chief Compliance Officer and Associate General Counsel, General Atlantic
Joel Wattenbarger, Partner, Ropes & Gray

A speaker photo for Kelly Pettit

Kelly Pettit

Chief Compliance Office and Associate General Counsel, General Atlantic

Read bio
A speaker photo for Joel  Wattenbarger

Joel Wattenbarger

Partner, Ropes & Gray

Read bio
12:20 - 13:00

High Risk Area: The Handling of Material Non-Public Information

Doug Chiciak, Patty Nykodym, Steven Spencer, Norm Champ
  • How to put together comprehensive and actionable policies for managing MNPI
  • How do you continuously monitor for MNPI misuse
  • What was learned from the big 2020 MNPI cases

Panelists:
Doug Chiciak, Chief Compliance Officer, Lightyear Capital
Patty Nykodym, Chief Financial Officer/Chief Compliance Officer, FFL Partners
Steven Spencer, Partner & General Counsel, Siris Capital

Moderator:
Norm Champ, Partner, Kirkland & Ellis

 

A speaker photo for Doug Chiciak

Doug Chiciak

Chief Compliance Officer, Lightyear Capital

Read bio
A speaker photo for Patty Nykodym

Patty Nykodym

Chief Financial Officer and Chief Compliance Officer, FFL Partners

Read bio
A speaker photo for Steven  Spencer

Steven Spencer

Partner and Chief Legal Officer, Siris Capital

Read bio
A speaker photo for Norm Champ

Norm Champ

Partner, Kirkland & Ellis

Read bio
13:00 - 14:00

Networking & Lunch Break

14:00 - 14:40

Emerging Technologies for State-of-the-Art Compliance Programs

Miles Chan
  • Choosing the right automation software to help manage policy, compliance, risk
  • How do you expect technology and software to develop and evolve in the coming months and years
  • Getting buy in and implementing training for new technologies

Panelists:
Miles Chan, VP/GM, InCloudCounsel

A speaker photo for Miles Chan

Miles Chan

VP/GM, InCloudCounsel

Read bio
14:40 - 15:20

Private Equity Social Media: Dos and Don'ts

Jennifer Boyce, Laura Ferrell, Alicia Novak, Kelly Riera
  • Benefit of social media for private equity funds
  • What are the compliance risks posed by social media?
  • How has the new marketing rule of 2020 changed things?
  • How to develop and implement policies to manage internal and external social media processes

Panelists:
Jennifer Boyce, General Counsel and CCO, Riverside Company
Laura Ferrell, Partner, Latham Watkins
Alicia Novak, Deputy Chief Compliance Officer, HarbourVest Partners
Kelly Riera, Chief Compliance Officer, TA Associates

A speaker photo for Jennifer Boyce

Jennifer Boyce

General Counsel and CCO, Riverside Company

Read bio
A speaker photo for Laura Ferrell

Laura Ferrell

Partner, Latham Watkins

Read bio
A speaker photo for Alicia Novak

Alicia Novak

Vice President, Deputy Chief Compliance Officer, HarbourVest

Read bio
A speaker photo for Kelly Riera

Kelly Riera

Chief Compliance Officer, TA Associates

Read bio
15:20 - 16:00

Regulatory & Compliance Considerations During Fundraising

Gregory Hegerich, Ross Oliver, Sanjay Sanghoee, Jason Scoffield, Meaghan A. Kelly
  • What information are limited partners increasingly asking regarding fund compliance program during fundraising
  • Compliance considerations regarding
    • claims made during private equity fund raising
    • your investment strategy and fee structures

Panelists:
Gregory Hegerich,
Head of Compliance, North America Private Investments & Real Estate, Corporate, Bain Capital
Ross Oliver, Partner & General Counsel, Crestview Partners
Sanjay
Sanghoee, COO, CFO and CCO, Delos Capital
Jason Scoffield, Chief Compliance Officer, Audax Management Company

Moderator:
Meaghan Kelly,
Partner, Simpson Thacher & Bartlett



A speaker photo for Gregory Hegerich

Gregory Hegerich

Head of Compliance, North America Private Investments & Real Estate, Bain Capital

Read bio
A speaker photo for Ross Oliver

Ross Oliver

Partner & General Counsel, Crestview

Read bio
A speaker photo for Sanjay Sanghoee

Sanjay Sanghoee

CCO, CFO, and CCO, Delos Capital

Read bio
A speaker photo for Jason  Scoffield

Jason Scoffield

Chief Financial Officer and Fund Counsel, Audax Management Company

Read bio
A speaker photo for Meaghan A.  Kelly

Meaghan A. Kelly

Partner, Simpson Thacher & Bartlett LLP

Read bio
16:00 - 16:00

Close of Day 1

Agenda

Day 2 - Wednesday 10th

Think Tank Session
09:00 - 10:00

Think Tank Session

Exclusive closed-door session for private fund compliance managers to meet with peers in the industry to discuss the most pressing challenges having an impact on their role and responsibilities.

Plenary session
10:00 - 10:40

Opening Keynote Panel/Interview - Institutional Investors: The LP Perspective

Katherine Hill Ritchie, Lawrence Aragon
  • Investment firm’s due diligence of investment managers
  • Building and maintaining strong relationships between LP & GPs
  • LP expectations on DEI & ESG policies
  • Expectations re RFIs

Interviewee:
Katherine Hill Ritchie, Director of Strategic Development, Nottingham Spirk Family Office

Interviewer:
Lawrence Aragon,
West Coast Bureau Chief, PEI Alternative Insight

A speaker photo for Katherine  Hill Ritchie

Katherine Hill Ritchie

Director of Strategic Development and Board Member, Nottingham Spirk Family Office

Read bio
Lawrence Aragon, PEI

Lawrence Aragon

West Coast Bureau Chief, PEI Alternative Insight

Read bio
10:40 - 11:10

Networking & Lunch Break

11:10 - 11:50

Ensuring a Smooth LIBOR Transition

Robin Blumenthal

The impacts on the LIBOR transition on multiple areas including:

  • reviewing loan agreements and other debt instruments
  • updates to disclosure documents
  • marketing materials
  • contracts
  • service provider agreements

Moderator:
Robin Blumenthal
, Editor, Private Debt Investor

Robin Blumenthal Private Debt Investor

Robin Blumenthal

Editor, Private Debt Investor

Read bio
11:50 - 12:30

Setting the Tone and Creating a Culture of Compliance

Julie Bender, Joshua Gilbert, Kara Goodloe Harling
  • What are some of the biggest compliance issues that firms struggle with?
  • How can firms prepare for operating in a more heavily regulated environment
  • What are some ways to effectively handle the reporting requirements at an emerging firm?

Panelists:
Julie Bender, Vice President, Chief Financial Officer and Chief Compliance Officer, Frontenac Company
Joshua Gilbert, Chief Financial Officer,Freestyle Capital
Kara Goodloe Harling, CCO, Senior Managing Director and Chief Compliance Officer, Mountain Capital

 

 

A speaker photo for Julie Bender

Julie Bender

Vice President, Chief Financial Officer and Chief Compliance Officer, Frontenac Company

Read bio
A speaker photo for Joshua Gilbert

Joshua Gilbert

Chief Financial Officer, Freestyle Capital

Read bio
A speaker photo for Kara	 Goodloe Harling

Kara Goodloe Harling

Senior Managing Director and Chief Compliance Officer, Mountain Capital Management, LLC

Read bio
12:30 - 12:30

Close Day 2

2021 speakers

We are currently confirming the compliance experts from top private equity firms who will be speaking at the Forum. Interested in speaking at the 2021 Forum? Contact Erin Wolfe at Erin.Wolfe@peimedia.com.

Lawrence Aragon, PEI

Lawrence Aragon

West Coast Bureau Chief, PEI Alternative Insight

Lawrence Aragon is an award-winning business journalist who writes about venture capital and private equity. As West Coast Bureau Chief, he is one of PEI’s senior editorial decision-makers and works closely with the Editorial Director US, the Group E… Read full bio

Julie Bender

Vice President, Chief Financial Officer and Chief Compliance Officer, Frontenac Company

Julie A. Bender, Vice President, Chief Financial Officer and Chief Compliance Officer, first joined Frontenac as a Senior Accountant in 1993. Julie rejoined the Firm in 2004 after serving as an Associate at Heller Financial, NES Rentals and Chicago C… Read full bio
Robin Blumenthal Private Debt Investor

Robin Blumenthal

Editor, Private Debt Investor

Robin Goldwyn Blumenthal is a senior reporter at Private Debt Investor. She spent many years covering the public markets, including 20 years as a senior editor at Barron’s magazine, where she presaged the US housing collapse and the 2008 financial cr… Read full bio

Jennifer Boyce

General Counsel and CCO, Riverside Company

Jennifer Boyce is the General Counsel & Chief Compliance Officer. She joined Riverside in 2012 and oversees Riverside’s legal and regulatory matters. Prior to joining the firm, Ms. Boyce was a partner at Jones Day in the Private Equity group. Ms.… Read full bio

Jason Brown

Partner, Ropes & Gray

Jason Brown is a partner in the asset management group. Jason has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, venture capital funds, hedge funds, separate accounts and commodity pool… Read full bio

Eugenie M. Cesar-Fabian

Partner, General Counsel, CCO, Palladium Equity Partners, LLC

Ms. Cesar-Fabian joined Palladium in 2011. She serves as General Counsel & Chief Compliance Officer and is a Partner of the Firm. Previously, she served as counsel at Bingham McCutchen LLP, where she advised and represented various financial serv… Read full bio

Norm Champ

Partner, Kirkland & Ellis

Norm Champ is a corporate partner in the New York office of Kirkland & Ellis LLP, where he is a member of the Investment Funds group. Norm’s practice specializes in solving complex regulatory issues related to the structuring, formation, governan… Read full bio

Miles Chan

VP/GM, InCloudCounsel

Miles is the VP / GM of Insight at InCloudCounsel. Prior to InCloudCounsel, Miles practiced corporate and securities law at Weil Gotshal in London and Simpson Thacher in New York. Miles holds a J.D. from the University of Chicago and a B.A. from Wash… Read full bio

Doug Chiciak

Chief Compliance Officer, Lightyear Capital

Doug Chiciak is the Chief Compliance Officer at Lightyear Capital where he oversees the Firm’s compliance program. Prior to joining Lightyear in 2018, Mr. Chiciak was the Deputy Chief Compliance Officer at New Mountain Capital. Previously, Mr. Chicia… Read full bio
Jennifer Conwell headshot

Jennifer Conwell

Senior Member, Private Funds Unit, U.S. Securities and Exchange Commission

Jennifer Conwell has been with the SEC for the past 21 years. Since 2019, Jennifer is an Exam Manager in the Private Funds Unit within the SEC’s Division of Examinations. Prior to becoming an Exam Manager, Jennifer was an Examiner in the Private Fund… Read full bio
Jennifer Duggins SEC

Jennifer Duggins

Assistant Director, Co-Head Private Funds Unit, U.S. Securities and Exchange Commission

Jennifer A. Duggins, IACCP® is Assistant Director and Co-Head of the Private Funds Unit within the SEC’s Office of Compliance Inspections and Examinations. Prior to joining the SEC, Jennifer was a Director in Regulatory Risk Consulting within the Adv… Read full bio

Laura Ferrell

Partner, Latham Watkins

Laura N. Ferrell is a partner in the Corporate Department and a member of the Investment Funds Practice and Financial Institutions Industry Group. Ms. Ferrell advises a broad cross-section of the asset management industry on a variety of complex lega… Read full bio

Marian Fowler

Partner, Investment Funds Group (Regulatory), Kirkland & Ellis

Marian Fowler is a partner in the Investment Funds Regulatory Solutions Group of Kirkland & Ellis LLP in Washington, DC. She focuses her practice on advising investment advisers to private equity funds as well as business development companies. M… Read full bio

Joshua Gilbert

Chief Financial Officer, Freestyle Capital

Josh is the CFO at Freestyle and leads the firm’s financial operations. His early career started at Anchin, a NYC based accounting firm in the alternative investment division specializing in audit, tax and fund administration then moving on to Schwar… Read full bio

Kara Goodloe Harling

Senior Managing Director and Chief Compliance Officer, Mountain Capital Management, LLC

Mrs. Harling serves as the Senior Managing Director and Chief Compliance Officer to Mountain Capital where she is responsible for accounting, finance, treasury, compliance and overall fund operations. She began her career in 2000, with a concentratio… Read full bio

Gregory Hegerich

Head of Compliance, North America Private Investments & Real Estate, Bain Capital

Mr. Hegerich joined Bain Capital in 2007. He is the head of compliance for North American Private Investments and Real Estate responsible for providing business unit compliance support to Bain Capital’s registered investment advisors. Prior to joinin… Read full bio

Katherine Hill Ritchie

Director of Strategic Development and Board Member, Nottingham Spirk Family Office

Mrs. Hill Ritchie has worked internally and as an advisor to 8 family offices through her firm, Private Capital Investments, LLC. Her current role is Director and Board Member for Nottingham Spirk Family Office, and her past roles include: Simon Grou… Read full bio

Bruce Karpati

Partner, Global Chief Compliance Officer & Counsel, KKR

Bruce Karpati joined KKR in 2014, is a Partner of the Firm, and serves as Global Chief Compliance Officer and Counsel. He serves on the Firm’s Risk & Operations Committee, is a member of the Firm’s Valuation Committee, chairs its Global Conflicts… Read full bio

Meaghan A. Kelly

Partner, Simpson Thacher & Bartlett LLP

Meaghan Kelly is a Partner in Simpson Thacher & Bartlett LLP’s Government and Internal Investigations Practice, where she focuses on high-stakes regulatory and government investigations for financial institutions, multinational corporations, inve… Read full bio

Alicia Novak

Vice President, Deputy Chief Compliance Officer, HarbourVest

Alicia Novak is Deputy Chief Compliance Officer at HarbourVest Partners, LLC, a global private equity investment manager, where she focuses on all aspects of the Firm’s regulatory and compliance functions.  Alicia has over 16 years of experience in s… Read full bio

Patty Nykodym

Chief Financial Officer and Chief Compliance Officer, FFL Partners

Patty Nykodym joined FFL as Chief Financial Officer in 2008. Patty manages all aspects of FFL’s accounting, tax, financial management, and reporting. She also serves as Chief Compliance Officer overseeing legal and regulatory compliance functions for… Read full bio

Ross Oliver

Partner & General Counsel, Crestview

Ross Oliver joined Crestview in 2011. Ross is a partner of the firm and the general counsel. He leads all legal and compliance functions. Ross has over 20 years of experience in private equity, mergers and acquisitions and tax as both an attorney and… Read full bio

Kelly Pettit

Chief Compliance Office and Associate General Counsel, General Atlantic

Kelly Pettit is the Chief Compliance Officer and Associate General Counsel at General Atlantic. She also serves on the firm’s Operating Committee. In her role, Kelly oversees the firm’s global regulatory compliance program and works on capital partne… Read full bio

Andrew Prodromos

Deputy General Counsel and Chief Compliance Officer, Insight Partners

Andrew Prodromos joined Insight in 2018 and is Insight’s Deputy General Counsel and Chief Compliance Officer. Prior to joining Insight, Andrew was an associate in the Corporate & Financial Services department at Willkie Farr & Gallagher LLP i… Read full bio

Kelly Riera

Chief Compliance Officer, TA Associates

Kelly is responsible for all aspects of TA’s global compliance program, including its design and implementation. Prior to joining TA in 2010, she was a Compliance Officer at Bain Capital, LLC. Previously, Kelly was a Corporate Paralegal at Ropes… Read full bio

Sanjay Sanghoee

CCO, CFO, and CCO, Delos Capital

Sanjay Sanghoee is COO, CFO and CCO of Delos Capital, a lower middle market private equity fund launched in 2013 and based in New York City. Mr. Sanghoee has more than 15 years of experience in investment banking and private equity. He is responsible… Read full bio

Jason Scoffield

Chief Financial Officer and Fund Counsel, Audax Management Company

Jason Scoffield is Chief Compliance Officer and Fund Counsel for Audax Group. Prior to joining Audax in 2015, Jason worked at Morgan, Lewis & Bockius LLP and Bingham McCutchen LLP as Counsel and at Proskauer Rose LLP., as an Associate, where he a… Read full bio

Steven Spencer

Partner and Chief Legal Officer, Siris Capital

Mr. Spencer is a Partner and the General Counsel of Siris. He joined Siris from Point72 Asset Management, L.P., where he was a Managing Director in the legal department, primarily representing the firm in connection with its private investments. Prev… Read full bio

Jordan Stutts

Senior Reporter, New Private Markets

Jordan is a senior reporter for PEI Media’s sustainable investment-focused publication New Private Markets, where he covers how the finance industry impacts people and the environment. Jordan is based in New York and has written for PEI’s various pub… Read full bio

Joel Wattenbarger

Partner, Ropes & Gray

Joel Wattenbarger is a partner in the asset management group. Joel represents investment management clients, focusing primarily on hedge funds, funds of funds, private equity funds and fund managers. He advises clients on the establishment of funds a… Read full bio