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:
- SEC exams
- Fee and expense allocations
- Conflicts of interest, valuations
- How to grow your firm
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.
What our attendees say about the event
CFO, LLR Partners
Very well done and good mix of topics and speakers.
Director Business Development, Vistra
Good conference, lot’s of C-level exec’s. The outsourcing breakout session was excellent!
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.
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 firstname.lastname@example.org 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
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 - Tuesday 9th
Women’s Networking Roundtable
Marian Fowler, Partner, Investment Funds Regulatory Solutions Group, Kirkland & Ellis
Erin Wolfe, Senior Conference Producer, PEI
SEC’s Opening Keynote Interview
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
The SEC’s Climate and ESG Task Force: Preparing for Increased Scrutiny
- 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
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
Jordan Stutts, Senior Reporter, New Private Markets
Partner, Ropes & GrayRead bio
Eugenie M. Cesar-Fabian
Partner, General Counsel, CCO, Palladium Equity Partners, LLCRead bio
Partner, Global Chief Compliance Officer & Counsel, KKRRead bio
Deputy General Counsel and Chief Compliance Officer, Insight PartnersRead bio
Senior Reporter, New Private MarketsRead bio
Private Fund Compliance Data Privacy & Governance
- 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
Kelly Pettit, Chief Compliance Officer and Associate General Counsel, General Atlantic
Joel Wattenbarger, Partner, Ropes & Gray
High Risk Area: The Handling of Material Non-Public Information
- 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
Doug Chiciak, Chief Compliance Officer, Lightyear Capital
Patty Nykodym, Chief Financial Officer/Chief Compliance Officer, FFL Partners
Steven Spencer, Partner & General Counsel, Siris Capital
Norm Champ, Partner, Kirkland & Ellis
Networking & Lunch Break
Emerging Technologies for State-of-the-Art Compliance Programs
- 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
Miles Chan, VP/GM, InCloudCounsel
Private Equity Social Media: Dos and Don'ts
- 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
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
Regulatory & Compliance Considerations During Fundraising
- 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
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
Meaghan Kelly, Partner, Simpson Thacher & Bartlett
Head of Compliance, North America Private Investments & Real Estate, Bain CapitalRead bio
Partner & General Counsel, CrestviewRead bio
CCO, CFO, and CCO, Delos CapitalRead bio
Chief Financial Officer and Fund Counsel, Audax Management CompanyRead bio
Meaghan A. Kelly
Partner, Simpson Thacher & Bartlett LLPRead bio
Close of Day 1
Day 2 - Wednesday 10th
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.
Opening Keynote Panel/Interview - Institutional Investors: The LP Perspective
- 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
Katherine Hill Ritchie, Director of Strategic Development, Nottingham Spirk Family Office
Lawrence Aragon, West Coast Bureau Chief, PEI Alternative Insight
Networking & Lunch Break
Ensuring a Smooth LIBOR Transition
The impacts on the LIBOR transition on multiple areas including:
- reviewing loan agreements and other debt instruments
- updates to disclosure documents
- marketing materials
- service provider agreements
Robin Blumenthal, Editor, Private Debt Investor
Setting the Tone and Creating a Culture of Compliance
- 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?
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
Close Day 2
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.