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 - 10:05

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

General Counsel/Chief Compliance Officer, Thrive Capital

Read bio
10:05 - 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 - 11:50

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

 

 

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

Head of ESG & Sustainability, Palladium Equity Partners

Read bio
A speaker photo for Bruce Karpati

Bruce Karpati

Global Chief Compliance Officer, 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
11:50 - 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

A speaker photo for Kelly Pettit

Kelly Pettit

Managing Director, Chief Compliance Officer, Associate General Counsel, General Atlantic

Read bio
A speaker photo for Joel  Wattenbarger

Joel Wattenbarger

Partner, Ropes & Gray

Read bio
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

 

A speaker photo for Doug Chiciak

Doug Chiciak

Chief Compliance Officer, Lightyear Capital

Read bio
A speaker photo for Scott Mathias

Scott Mathias

Co-Chief Compliance Officer of Real Estate, Blackstone

Read bio
A speaker photo for Patty Nykodym

Patty Nykodym

Chief Financial Officer & Chief Compliance Officer, FFL Partners

Read bio
A speaker photo for Steven  Spencer

Steven Spencer

Partner, Chief Legal Officer and Chief Compliance Officer, Siris Capital Group, LLC

Read bio
A speaker photo for Norm Champ

Norm Champ

Partner, Kirkland & Ellis

Read bio
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

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 LLP

Read bio
A speaker photo for Alicia Novak

Alicia Novak

Senior Vice President, Deputy Chief Compliance Officer, HarbourVest Partners

Read bio
A speaker photo for Kelly Riera

Kelly Riera

Chief Compliance Officer, TA Associates

Read bio
A speaker photo for Samantha Rowan

Samantha Rowan

Editor, Real Estate Capital USA

Read bio
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



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 Partners

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 Compliance Officer, Audax Management Company

Read bio
A speaker photo for Meaghan A.  Kelly

Meaghan A. Kelly

Partner, Simpson Thacher and Bartlett LLC

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

 

A speaker photo for Gregory Hegerich

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

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 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

A speaker photo for Abram  Ellis

Abram Ellis

Partner, Simpson Thacher & Bartlett

Read bio
A speaker photo for Hugh Kennedy

Hugh Kennedy

Group Publisher, PEI Media

Read bio
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

 

 

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
A speaker photo for Paul Marnoto

Paul Marnoto

General Counsel, Parthenon Capital Partners

Read bio
A speaker photo for Carl Ayers

Carl Ayers

Publisher, Regulatory Compliance Watch

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

Carl Ayers

Publisher, Regulatory Compliance Watch

Julie Bender

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

Jennifer Boyce

General Counsel and CCO, Riverside Company

Jason Brown

Partner, Ropes & Gray

Eugenie M. Cesar-Fabian

Head of ESG & Sustainability, Palladium Equity Partners

Norm Champ

Partner, Kirkland & Ellis

Doug Chiciak

Chief Compliance Officer, Lightyear Capital

Jennifer Conwell headshot

Jennifer Conwell

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

Jennifer Duggins SEC

Jennifer Duggins

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

Abram Ellis

Partner, Simpson Thacher & Bartlett

Laura Ferrell

Partner, Latham & Watkins LLP

Marian Fowler

General Counsel/Chief Compliance Officer, Thrive Capital

Joshua Gilbert

Chief Financial Officer, Freestyle Capital

Kara Goodloe Harling

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

Gregory Hegerich

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

Katherine Hill Ritchie

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

Bruce Karpati

Global Chief Compliance Officer, KKR

Meaghan A. Kelly

Partner, Simpson Thacher and Bartlett LLC

Hugh Kennedy

Group Publisher, PEI Media

Paul Marnoto

General Counsel, Parthenon Capital Partners

Scott Mathias

Co-Chief Compliance Officer of Real Estate, Blackstone

Alicia Novak

Senior Vice President, Deputy Chief Compliance Officer, HarbourVest Partners

Patty Nykodym

Chief Financial Officer & Chief Compliance Officer, FFL Partners

Ross Oliver

Partner & General Counsel, Crestview Partners

Kelly Pettit

Managing Director, Chief Compliance Officer, Associate General Counsel, General Atlantic

Andrew Prodromos

Deputy General Counsel and Chief Compliance Officer, Insight Partners

Kelly Riera

Chief Compliance Officer, TA Associates

Samantha Rowan

Editor, Real Estate Capital USA

Sanjay Sanghoee

CCO, CFO, and CCO, Delos Capital

Jason Scoffield

Chief Compliance Officer, Audax Management Company

Steven Spencer

Partner, Chief Legal Officer and Chief Compliance Officer, Siris Capital Group, LLC

Jordan Stutts

Senior Reporter, New Private Markets

Joel Wattenbarger

Partner, Ropes & Gray