Private Equity
International
International
Private Fund Compliance Fall Forum Virtual Experience 2021
9 - 10 November 2021,
Available anywhere
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)
View agenda page
Agenda
Day 1 - Tuesday 9th
Plenary session
09:30 - 10:05
Women’s Networking Roundtable
Marian Fowler
Panelists:
Marian Fowler, Partner, Investment Funds Regulatory Solutions Group, Kirkland & Ellis
10:05 - 10:10
PEI Welcome
Erin Wolfe
Erin Wolfe, Senior Conference Producer, PEI
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
11:00 - 11:50
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, Head of ESG & Sustainability, Palladium Equity Partners, LLC
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
11:50 - 12:30
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
Interviewee:
Kelly Pettit, Chief Compliance Officer and Associate General Counsel, General Atlantic
Interviewer:
Joel Wattenbarger, Partner, Ropes & Gray
12:30 - 13:20
High Risk Area: The Handling of Material Non-Public Information
Doug Chiciak,
Scott Mathias,
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
Scott Mathias, Co-Chief Compliance Officer of Real Estate, Blackstone
Patty Nykodym, Chief Financial Officer/Chief Compliance Officer, FFL Partners
Steven Spencer, Partner & General Counsel, Siris Capital
Moderator:
Norm Champ, Partner, Kirkland & Ellis
13:20 - 14:20
Networking & Lunch Break
14:20 - 15:10
Private Equity Social Media: Dos and Don'ts
Jennifer Boyce,
Laura Ferrell,
Alicia Novak,
Kelly Riera,
Samantha Rowan
- 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
Moderator:
Samantha Rowan, Editor, Real Estate Capital USA, PEI Media
15:10 - 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
Gregory Hegerich
Head of Compliance, North America Private Investments & Real Estate, Bain Capital
Read bio
16:00 - 16:00
Close of Day 1
Agenda
Day 2 - Wednesday 10th
Think Tank Session
09:15 - 10:00
Think Tank Session
Gregory Hegerich
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.
Facilitator:
Gregory Hegerich, Head of Compliance, North America Private Investments & Real Estate, Corporate, Bain Capital
Gregory Hegerich
Head of Compliance, North America Private Investments & Real Estate, Bain Capital
Read bio
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
10:40 - 11:10
Networking Break
11:10 - 11:50
Ensuring a Smooth LIBOR Transition
Abram Ellis,
Hugh Kennedy
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
Interviewee:
Abram Ellis, Partner, Simpson Thacher & Bartlett
Interviewer:
Hugh Kennedy, Group Publisher, PEI Media
11:50 - 12:30
Setting the Tone and Creating a Culture of Compliance
Julie Bender,
Joshua Gilbert,
Kara Goodloe Harling,
Paul Marnoto,
Carl Ayers
- 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
Paul Marnoto, General Counsel, Parthenon Capital Partners
Moderator:
Carl Ayers, Publisher, Regulatory and Compliance Watch
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
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
Carl Ayers
Publisher, Regulatory Compliance Watch
Carl has been the publisher of Regulatory Compliance Watch since 2008. He has won several national journalism awards, including for investigative reporting. Recent national awards include a second place award for Best Spot News for a story reporting… 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
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 and co-head of the firm’s private funds regulatory practice. Jason has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, venture capi… Read full bio
Eugenie M. Cesar-Fabian
Head of ESG & Sustainability, Palladium Equity Partners
Ms. Cesar-Fabian joined Palladium in 2011. She serves as Head of ESG & Sustainability and is a Partner of the Firm. Previously, Ms. Cesar-Fabian served as Palladium’s first General Counsel and Chief Compliance Officer. Prior to that, she served a… 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
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
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
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
Abram Ellis
Partner, Simpson Thacher & Bartlett
Recognized as a “Rising Star” and “Next Generation Lawyer” in antitrust litigation, Abram Ellis is a Partner in Simpson Thacher & Bartlett LLP’s Washington, D.C. office. His practice comprises all aspects of competition law, from defending client… Read full bio
Laura Ferrell
Partner, Latham & Watkins LLP
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, Corporate, 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, 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 and Bartlett LLC
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
Hugh Kennedy
Group Publisher, PEI Media
Hugh joined PEI in April 2019. Prior to joining the company, he was the Group Publisher for Simplify Compliance, a provider of mission-critical regulatory and business information, analysis, and compliance tools. Hugh has 35 years of expertise in the… Read full bio
Paul Marnoto
General Counsel, Parthenon Capital Partners
Paul Marnoto is the General Counsel for Parthenon Capital. Prior to joining Parthenon, he was a partner in the Investment Management Group of K&L Gates LLP, where he represented sponsors of middle market buyout, venture capital and hedge funds on… Read full bio
Scott Mathias
Co-Chief Compliance Officer of Real Estate, Blackstone
Scott Mathias is a Managing Director and Co-Chief Compliance Officer of Blackstone Real Estate. Mr. Mathias serves as a Co-Chair of the Blackstone Legal & Compliance Development & Collaboration Committee. Prior to joining Blackstone in 2016,… Read full bio
Alicia Novak
Senior Vice President, Deputy Chief Compliance Officer, HarbourVest Partners
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 & Chief Compliance Officer, FFL Partners
Patty Nykodym joined FFL as Chief Financial Officer in 2008 and was also appointed Chief Compliance Officer in 2011. Patty manages all aspects of FFL’s accounting, tax, financial management, and oversees reporting legal and regulatory compliance func… 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
Managing Director, Chief Compliance Officer, Associate General Counsel, General Atlantic
Kelly Pettit is Managing Director, Chief Compliance Officer, and Associate General Counsel at General Atlantic, a leading global growth equity firm with $73B in assets under management and 16 locations globally. Based in New York, she leads the firm’… Read full bio
Andrew Prodromos
Deputy General Counsel and Chief Compliance Officer, Insight Partners
Andrew Prodromos is Deputy General Counsel and Chief Compliance Officer at Insight Partners, a global venture capital and private equity firm where he focuses on all aspects of Insight’s legal, regulatory, compliance and ESG functions. Prior to joini… 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
Samantha Rowan
Editor, Real Estate Capital USA
Samantha Rowan is the editor of Real Estate Capital USA, a PEI Media publication which sits alongside Real Estate Capital Europe and PERE. Prior to joining PEI, Sam was the editor of publications that included Real Estate Finance & Investment, Se… 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 Chief Legal Officer 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.… 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 and co-head of the firm’s private funds regulatory practice. Joel represents investment management clients, focusing primarily on hedge funds, funds of funds, private equity funds and fund… Read full bio