Brian Daly
Director of the Division of Investment Management, U.S. Securities and Exchange Commission
Private Funds
CFO
Network
CFO
Network
Private Fund Compliance Regulatory Forum
June 9-10, 2026
Convene Hamilton Square Washington, DC
Compliance Clarity Amid Fragmented Regulatory Change
The Private Fund Compliance Regulatory Forum will explore the state of the compliance landscape and how to stay ahead of fast-changing regulations under the Trump administration.
With a rich 10+ year history of breaking critical information impacting our industry, the Forum is the must-attend event for private fund compliance leaders.
2025 keynotes
Last year, the U.S. Securities and Exchange Commission’s Leadership explored the regulatory developments of 2025, including:
- SEC examination priorities
- Strategies for avoiding common private fund violations
- Reducing the likelihood of triggering an enforcement referral
“The best part is hearing from SEC staff on the very granular matters that impact our day to day.”
Daniel Gewanter, Kohlberg & Co
“One of my go-to events each year due to the timely program content and excellent panelists.”
Liz Staley, Leerink Capital Partners
Featured speakers
What our attendees find most valuable
Who attends the Regulatory Forum?
Compliance leaders
Gain practical guidance on shifting SEC priorities, enforcement expectations, and proven approaches for strengthening private fund compliance programs.
In-house General Counsel
Stay ahead of regulatory developments, assess evolving legal risk, and ensure firm governance and oversight align with regulatory expectations.
Multi-hatted finance & operations leaders
Understand how regulatory changes impact operational and financial workflows, enhance firm-wide risk management, and support compliant growth.
What our attendees find most valuable
Sun Capital Partners
Alexandra Maisel
Great networking opportunities, interesting topics, and fabulous guest speakers.
Kohlberg & Co.
Daniel Gewanter
Enjoyed the SEC perspective and perspective of real CCOs from peers
Omega Funds
Mark Russell
Excellent event, with all topics being highly relevant
Keeping you on top of what’s to come
Through engaging panels, interactive think tanks and keynote discussions, the event covered:
- What to look out for in SEC exams
- Recent SEC enforcement actions
- How firms adapted to new AML requirements
- How to navigate a Trump-era revamp of HSR rule
- The political, economic, and regulatory challenges ahead
Contact Kellie Green at kellie.g@pei.group to discuss speaking opportunities.
View agenda page
Agenda
Day 1 - Tuesday 9th
08:30 - 09:30
Registration – continental breakfast
08:30 - 09:30
Sponsored VIP Breakfast
Plenary
09:30 - 09:45
Chair’s opening remarks
Kelly Riera
Kelly H. Riera, Chief Compliance Officer, TA Associates
09:45 - 10:30
Keynote Interview: Brian Daly, Director of the Division of Investment Management, U.S. Securities and Exchange Commission
Brian Daly
Gain an insider’s perspective with Brian Daly, Director, Division of Investment Management, U.S. Securities and Exchange Commission, as he outlines the SEC’s 2026 priorities — including areas of regulatory focus, reporting expectations, and emerging compliance trends — and offers practical guidance for strengthening governance and risk frameworks.
Brian Daly
Director of the Division of Investment Management, U.S. Securities and Exchange Commission
Read bio
10:30 - 11:20
Plenary – 2026 Regulatory Hotspots for Private Funds: Liquidity, Valuation, Fee Oversight, and Conflicts of Interest
Marie Bober,
Abrar Hussain
- Examining stressed liquidity scenarios, redemption pressures, and regulatory expectations for appropriate leverage practices.
- Ensuring fair and defensible valuations with robust oversight and documentation to satisfy examiners.
- Maintaining consistent, transparent controls and reporting for management fees, carried interest, reimbursable expenses, and side letter obligation.
- Identifying, mitigating, and transparently governing conflicts of interest.
Marie Bober, Chief Compliance Officer & Senior Counsel, Moelis Asset Management
Abrar Hussain, General Counsel, Samsara BioCapital
11:20 - 11:45
Networking coffee break
Breakouts
11:45 - 12:35
Track A - Shaping the Future of Retirement: 401(k) Investment Expansion Through a Compliance Lens
Brian Privor
- How alternative investments, private market funds, and non-traditional strategies are being introduced in 401(k) plans—and what compliance teams need to monitor.
- Understanding 2026 updates to contribution limits, Roth catch-up requirements, and their impact on plan design, recordkeeping, and reporting.
- Ensuring proper due diligence, governance, and documentation to meet ERISA fiduciary standards while mitigating compliance risk.
Brian Privor, Managing Director, Legal & Compliance, Blackstone
11:45 - 12:35
Track B - Multi State Regulatory Oversight in 2026: Managing a Fragmented Compliance Landscape
Jennifer Boyce
- New and strengthened state laws coming into effect in 2026, including heightened disclosure, registration, and approval obligations in key markets such as California, New York, and Texas.
- Addressing practical challenges in 2026 for funds operating across states, including updated filing requirements, transaction review processes, and varying enforcement priorities.
- Developing policies, monitoring programs, and escalation paths in 2026 that align with federal regulations while meeting diverse state expectations, helping reduce governance risk and prepare for exams.
Jennifer Boyce, General Counsel & Chief Compliance Officer, The Riverside Company
12:40 - 13:30
Track A - The Updated Names Rule in 2026: Aligning Fund Names, Disclosures, and Controls
- How CCOs and GCs can implement controls to ensure fund names accurately reflect portfolio holdings and strategies, maintain the 80% standard, and mitigate regulatory risk.
- Best practices for prospectuses, marketing materials, and client reporting to avoid misleading statements and satisfy SEC expectations.
- Designing workflows, recordkeeping, and monitoring programs to document adherence, identify deficiencies, and support board and investor oversight.
12:40 - 13:30
Track B - Global Oversight in 2026: Cross Border Regulatory Challenges for Private Fund Compliance Leaders
Adam Freedman,
Shauna Harrison,
Jerry Sanchez
- How to navigate the new cross‑border reporting regimes and joint supervisory mechanisms that are emerging
- Understanding the updated AIFMD 2.0 requirements, depositary obligations and passport rules that impact fund marketing, investor access, and reporting across EU member states.
- Coordinating cross-border due diligence, monitoring, and reporting frameworks to meet AML/KYC obligations while mitigating cybersecurity, valuation, and fiduciary risks across jurisdictions.
Adam Freedman, Managing Director & Chief Compliance Officer, HarbourVest Partners, LLC
Shauna Harrison, Executive Director, Compliance, GCM Grosvenor
Jerry Sanchez, Chief Compliance Officer, NEA
13:30 - 14:30
Networking luncheon
Plenary
14:30 - 15:20
Plenary - AI in the Compliance Spotlight: Regulatory Guidance for AI-Driven Compliance Workflows
Gaurav Aggarwal,
Mark Happe,
Martha Mensoian
- How AI is reshaping surveillance, monitoring, investigations, and reporting, and where firms are most exposed.
- How to integrate AI into compliance workflows without introducing new regulatory or model risk.
- Guardrails for model risk management, data integrity, bias mitigation, and escalation protocols.
Gaurav Aggarwal, Senior Director – Infrastructure & Support, Veritas Capital
Mark Happe, Chief Compliance Officer & Managing Director, MAI Capital Management
Martha Mensoian, General Counsel & Chief Compliance Officer, Ethos Capital
15:20 - 15:40
Networking coffee break
Breakouts
15:40 - 16:30
Track A - Form PF’s Third Extension: Regulatory Expectations and the First Real Compliance Test
Tiffany Shatzkes
- Implementing and testing internal systems, project plans, and data governance frameworks to meet evolving Form PF requirements and avoid reporting errors.
- Strengthening oversight, monitoring, and escalation processes in 2026 to ensure defensible compliance ahead of the first enforcement cycle.
- Using 2026 as a pivotal year to stress-test reporting frameworks and workflows in anticipation of the 2027 submission cycle, identifying gaps and mitigating risk proactively.
Tiffany Shatzkes, Deputy Chief Compliance Officer and Associate Counsel, J.C. Flowers & Co.
Tiffany Shatzkes
Deputy Chief Compliance Officer and Associate Counsel, J.C. Flowers & Co. LLC
Read bio
15:40 - 16:30
Track B - Fiduciary & Operational Risk: Regulatory Priorities for Private Fund General Counsels
Ellen Rosenberg,
Matthew Bloom
- How top GCs are partnering with the CCO, CEO, CIO, and CFO to guide growth, resolve conflicts, and navigate gray areas before they become exam issues.
- Leading the legal strategy behind launches, amendments, and closings while balancing speed to market with regulatory defensibility.
- How GCs are managing exposure across vendors, fund administrators, cybersecurity, data privacy, and business continuity—and what regulators now expect to see.
Ellen Rosenberg, Partner, General Counsel & Chief Compliance Officer, GreyLion Partners
Matthew Bloom, General Counsel / Legal and Compliance. Viking Global Investors
Plenary
16:35 - 17:25
Plenary - AML & KYC in 2026: What’s Changing, What’s Coming, and What It Means
Mark Mangion,
Wendy Hennigan
- Understanding the implications of FinCEN’s 2026 review of AML/KYC rules, including potential changes to reporting thresholds, enhanced scrutiny of private fund advisers, and expectations around beneficial ownership documentation.
- Implementing digital identity frameworks, continuous KYC monitoring, and enhanced transparency around beneficial ownership to meet evolving regulatory expectations and reduce operational risk.
- Using advanced AI and machine learning to detect complex money laundering and fraud patterns, minimize false positives, enable real-time monitoring, and support audit-ready reporting for exams.
Moderator: Mark Mangion, SVP, Regulatory & Compliance, iCapital
Wendy Hennigan, Senior Vice President, Global Head of Financial Crimes, HarbourVest Partners, LLC
End of Day 1
17:30 - 18:30
Cocktail reception and end of day one
Agenda
Day 2 - Wednesday 10th
08:00 - 09:00
Breakfast
Webinar
08:00 - 09:00
Webinar Part II: Pre- Conference Workshop (continuation from the webinar)
Think Tank Sessions
09:00 - 09:45
CCOs Think Tank (GP only) (Invite Only)
Melissa Lawson
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
Melissa Lawson, Chief Compliance Officer, Platinum Equity
09:00 - 09:45
Senior Compliance Professionals (GPs only)
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
09:00 - 09:45
General Council (GP only)(Invite Only)
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
Plenary
09:55 - 10:00
Chair’s opening remarks
10:00 - 10:50
Keynote Fireside Chat: From the Examiner’s Desk: What Private Fund Managers Need to Know
Daniel Faigus
Daniel Faigus, Senior Specialized Examiner – Private Fund, U.S. Securities and Exchange Commission
Daniel Faigus
Senior Specialized Examiner – Private Funds, U.S. Securities and Exchange Commission
Read bio
10:50 - 11:40
Keynote Fireside Chat – New Rules of Engagement: Understanding the SEC’s Updated Enforcement Framework
Brianna Ripa
Brianna Ripa, Assistant Director, Asset Management Unit at U.S. Securities and Exchange Commission, Division of Enforcement
Brianna Ripa
Assistant Director, Asset Management Unit, U.S. Securities and Exchange Commission
Read bio
11:40 - 12:05
Networking break
Breakout Panels with Peer-to-Peer Workshops
12:10 - 13:25
Panel & Workshop A - Surviving the SEC Exam: A Playbook for Private Fund CCOs
Amanda Misch,
Pooja Mantha,
Stefanie Sundel
- What examiners are focusing on now—from conflicts of interest, marketing materials, and fee disclosures to cybersecurity, AML/KYC, and data governance.
- Managing complex products, ensuring defensible valuations, and monitoring liquidity to meet regulatory expectations.
- Designing oversight frameworks to track fees, allocations, and operational risks across funds and co-investment vehicles.
Pooja Mantha, Chief Compliance Officer, Crestview Advisors
Amanda Misch, Chief Compliance Officer, Greenbelt Capital Partners
Stefanie Sundel, Managing Director, Head of Americas Compliance, Apollo Global Management Inc.
12:10 - 13:25
Panel & Workshop B - Exam-Proofing Your Firm: What PE General Counsels Need to Get Right
Michael Gershowitz,
Junaid Subhan
- How to ensure your compliance framework, disclosures, and internal controls hold up under SEC scrutiny.
- Board reporting, escalation protocols, and demonstrating active supervision across the organization.
- Where exams are focusing now—from conflicts and valuation to marketing practices, cybersecurity, and data privacy
Michael Gershowitz, Global Chief Legal Officer & Chief Compliance Officer, Harrison Street Asset Management
Junaid Subhan, Vice-President, Legal Affairs & Chief Compliance Officer, Sagard
End of Conference
13:30 - 14:00
Luncheon and end of conference
Pre-Event Resources
Lead the discussion in 2026
Have a topic you would like to discuss at this year’s forum? Contact Kellie Green at kellie.g@pei.group to discuss speaking opportunities.
Speakers
Brian Daly
Director of the Division of Investment Management, U.S. Securities and Exchange Commission
Michael Gershowitz
Global Chief Legal Officer and Chief Compliance Officer, Harrison Street Asset Management
Connect and engage with a community of private markets CCOs and COOs
The Private Fund Compliance Regulatory Forum allows providers to connect with senior compliance professionals in private equity through thought leadership and meaningful networking.
By sponsoring or partnering with the Private Funds CFO Network, you can engage year-round with key decision-makers across 30+ meetings and flagship events.
For exclusive sponsorship packages for 2026, contact Josh Stoller at joshua.s@pei.group or call +1 646 970 3923.
2025 Sponsors
Venue
Convene Hamilton Square Washington, DC
600 14th St NW, Washington, DC 20005
Here is a list of hotel accommodations for easy access to the event.
Make essential connections
Be a part of the largest gathering of compliance leaders in the industry. Over two days you’ll build up your book of contacts while discussing solutions to shared challenges with this expansive community.
2025 attendees:
Conversations that inspire collaboration
Breakfast meetings and think tanks
Cover critical issues and exchange solutions on curated topics with your peers at our breakfast meetings and GP-only think tanks.
Networking breaks
Catch up with your peers to build your network and discuss session takeaways during the many designated networking breaks.
Workshops
More hands-on than a traditional panel, our workshops start with a 25 minute discussion followed by a 40 minute peer-to-peer workshop.
Participants at a glance
“Event was a great opportunity to hear from three important constituents: SEC staff, industry advisors, and peers in the trenches who deal with the same challenges I deal with.
“
Daniel Gewanter, Kohlberg & Co
“Great networking opportunities, interesting topics, and fabulous guest speakers.
“
Alexandra Maisel, Sun Capital Partners
Thanks for your interest
Thank you for your interest in the Private Fund Compliance Regulatory Forum. Your requested resource will be emailed to you shortly.
Explore our event website for more information and be sure to secure your place when ready. We hope to see you at the forum this June in Washington, D.C.
Hear directly from the SEC
Join the SEC as they uncover their 2026 exam priorities and how to best prepare for enforcement actions, how to avoid a referral, and much more.
Stay caught up on new compliance regulations
Hear how your peers are staying compliant with new SEC rules and regulations. Create a plan to navigate new private fund rules, the restricted activities rule, quarterly reporting, the marketing rule, and more.
Build your network
Meet with the largest gathering of compliance experts. Make this your annual stop as you return to the office with a fresh outlook and enhanced network of likeminded peers as you navigate new regulations together.
We'll be in touch
Thank you for your interest in our upcoming events.
Our team will reach out to you shortly.
Explore our event website to learn more about the Network, and be sure to become a member for year-round content and opportunities.
We hope to see you soon.
Where CFOs, COOs and CCOs connect, learn and grow
Value that extends beyond the event
Expand your network, build lasting relationships and discuss opportunities that will help take your firm to the next level with the Private Funds CFO Network.
The Network’s dedicated membership team will ensure your experience after the Forum is first class with personalized introductions, timely roundtable discussions and much more.
Unlock your firm’s potential when you join the Private Funds CFO Network.
“There’s a real premium in gathering together, and I commend PEI for thoughtfully creating opportunities for CFOs and COOs to engage with one another.”- Joshua Cherry-Seto, Managing Director, CFO & CCO, Velocity Capital Advisors
What you gain with the Private Funds CFO Network
Curated connections for CCOs & COOs
Get personalized peer recommendations and direct access to industry leaders through our exclusive member-only directory. Build relationships that last beyond the event.
Events that drive impact
Join the industry’s top CCO-focused events—featuring unmissable speakers, high-value roundtables, and networking experiences that drive business outcomes. CPE credits available.
Knowledge that keeps you ahead
Stay in front of industry change with peer-led think tanks, fireside chats, and expert briefings on today’s most pressing finance and operations topics.
Upcoming in the Network: Virtual and in-person events
Join this fast-moving and responsive program of member meetings throughout the year.
Executive Coaching Series: Leadership communication under pressure on March 24, virtually
AI use cases in fund forecasting and liquidity planning on April 16, virtually
Secondary funds: Unique operational and compliance considerations on April 23, virtually
Supper Club Series: AI, ODD & valuations on May 7 in New York City
Discover the top CCO Network
Connect with a carefully curated network of top CCOs, COOs, CFOs and other private equity decision-makers from leading firms.
Unlock powerful connections with the Private Funds CFO Network
Purchase a 12 month membership when you register for the Forum, and enjoy exclusive access to:
- Our network directory of senior leaders in operations, compliance and finance, and other private equity leaders
- Preferential rates to attend additional Network events in New York, Boston and Chicago
- Invite-only peer groups, monthly virtual meetings and knowledge hubs for deeper insights year-round
- And so much more…
Stay connected with the top CCO community
Bernadette Mentor
CFO, Principal & CCO, Prysm Capital
It’s the peers, throughout the year: their guidance, their learnings that have really helped me in my role.
Michaele Gobel
Chief Financial Officer, Equilibrium
The Network provides rich, deep content and events alongside a unique personal touch from the PEI team. I feel more engaged than ever and the Network creates no…
Jesse Knapel
CFO & CCO, Prelude Growth Partners
If I have a question, if we’re going through fundraising or I have a complex financial or tax question, I can gauge where my peers are at…That is tremendously u…