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

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

Hear directly from the SEC

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.

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 events offer 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

2021 preliminary 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
10:30 - 11:00

Women’s networking roundtable

11:00 - 11:20

PEI welcome

11:20 - 11:55

SEC’s Opening Keynote interview

12:00 - 12:45

The SEC’s Climate and ESG task force: preparing for increased scrutiny

12:50 - 13:30

Private Fund Compliance data privacy & governance

13:35 - 14:15

High risk area: the handling of material non-public information

14:15 - 15:15

Networking & lunch break

15:15 - 16:00

Technology tips: maintaining consistency, clarity, and documentation in your compliance program

16:05 - 16:50

Private equity social media: dos and don'ts

16:55 - 17:50

Regulatory & compliance considerations during fundraising

17:50 - 17:50

Close day 1

Agenda

Day 2 - Wednesday 10th

Think tank session
11:00 - 12:00

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 an impact on their role and responsibilities

Plenary session
12:00 - 12:10

PEI welcome

12:15 - 12:45

Opening keynote interview - Institutional Investors: The LP perspective

12:50 - 13:35

Asset and liability management

13:35 - 14:35

Networking & lunch break

14:35 - 15:15

Ensuring a smooth LIBOR transition

15:20 - 16:00

Small firms: what are the unique issues they face with compliance

16:00 - 16:05

Close of day 2

2021 speakers

We are currently confirming the 2021 Forum speakers that will feature compliance experts from top private equity firms. Interested in speaking at the Forum? Contact Erin Wolfe at (erin.wolfe@peimedia.com)

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 Chief Compliance Officer, 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

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
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

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

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

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

Ken Warren

Chief Financial Officer, Littlejohn & Co.

Mr. Warren joined Littlejohn in 2008. Prior to joining Littlejohn, he was the senior vice president for finance at Quadrangle Group LLC, where he was responsible for accounting and administration of the hedge fund and asset management businesses. Pri… Read full bio