Effective strategies for fine-tuning compliance programs in an increasingly complex private equity environment

 

Earn CLE & CPE credits

New for this year, CLE credits are now available! In addition to CPE, PEI is pleased to offer our attendees continuing legal education credits.

Gain actionable tools & strategies

Acquire tips and tricks for structuring and running an effective compliance program from experienced CCOs, General Counsels and the SEC.

Connect with your peers

This unique event affords compliance professionals the opportunity to exchange ideas, benchmark strategies and learn how to handle current trends impacting the industry.

Previous speakers included

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Previous agenda highlights

 

» Key takeaways from major enforcement and litigation actions against private funds

» ESG considerations for private equity funds

» Moving from single to multiple strategies: As a private equity firm grows, what are the cost-efficient strategies for dealing with the expanding compliance function?

» In the interim: How are firms practically handling the SEC’s advertising proposal and its potential application to social media platforms?

» What should a compliance executive think about when a business enters into a co-investment arrangement?

» CCO and CFO and COO and…small(er) firm compliance challenges

» CCO Think-Tank

Previous attendees included:

ACON Investments
Alinda Capital Partners
Altpoint Capital Partners
Brookfield Asset Management
Bank of America
BC Partners
Calvert Street Capital Partners
CapitalSpring
Cathay Capital Private Equity
Certares
Declaration Partners
EIG Global Energy Partners
Equity International
General Atlantic
GI Partners
Kainos Capital
KKR
Lightyear Capital
LS Power
Palladium Equity Partners
Presidio Investors
Stepstone Group
Stone Point Capital
TowerBrook Capital Partners
Warburg Pincus
Whitehorse Liquidity Partners

What our attendees say about the Forum

PCCP

Gabriel Willey

This is the most informative of the conferences I do every year

Leerink Capital Partners

Liz Staley

One of my go to events each year due to the timely program content and excellent panelists.

Omega Funds

Mark Russell

Excellent event, with all topics being highly relevant

Earn CLE & CPE credits

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.

Previous speakers

Interested in speaking at the 2021 Forum? Please contact Kellie Greene at kellie.g@peimedia.com .

Matthew Barbato

Deputy Chief Compliance Officer, Hamilton Lane

Matt is Deputy Chief Compliance Officer at Hamilton Lane. Earlier in his career, he managed various accounting and operations functions at the firm, ranging from fund accounting, tax, valuation, treasury, investor reporting, and performance reporting… Read full bio

Dominick Barbieri

Associate General Counsel and Deputy Chief Compliance Officer, Palladium Equity Partners, LLC

Mr. Barbieri joined Palladium in 2017 and serves as Associate General Counsel and Deputy Chief Compliance Officer. Most recently, he served as Senior Counsel with the Division of Enforcement of the U.S. Securities and Exchange Commission. Prior to th… Read full bio

Teresa Bernstein

Chief Operating Officer, GC and CCO, ACON Investments, L.L.C.

Teresa Y. Bernstein is the Chief Operating Officer, General Counsel and Chief Compliance Officer of ACON Investments, a private equity investment firm based in Washington, D.C. that invests in middle market companies across the United States, Latin A… Read full bio

Amy Brusiloff

Senior Vice President, CDFI Lending & Investing ESG Capital Deployment, Bank of America

Amy Brusiloff is a senior vice president at Bank of America who specializes in community development finance and social impact investing. Ms. Brusiloff provides capital to community development financial institutions (CDFIs) that finance affordable h… Read full bio

Jennifer Cattier

General Counsel and Managing Director, Almanac Realty Investors

Ms. Cattier is the General Counsel of Almanac and is responsible for leading all of Almanac’s legal matters. Ms. Cattier has experience with a broad range of alternative asset classes, including real estate, private equity, venture capital and hedge… Read full bio

Jacob Comer

General Counsel & Chief Compliance Officer, NovaQuest Capital Management

Bio coming soon...

Catherine Colyer

Chief Compliance Officer, WaterEquity

Catherine Colyer provides compliance oversight of WaterEquity’s business and the funds it manages. She is responsible for domestic and international regulatory compliance, fund management and governance, and oversees outside legal counsel internation… Read full bio

Stephen Erwin

Chief Legal and Compliance Officer, JCR Capital

Stephen Erwin joined JCR Capital Investment Corporation (“JCR Capital”), a wholly owned subsidiary of Walker & Dunlop, Inc. in 2018. As the firm’s Chief Legal and Compliance Officer, he is responsible legal and compliance department oversight of… Read full bio

Yonah Feder

Chief Compliance Officer, Onex Corporation

Yonah has overall responsibility for Onex’ private equity compliance program. Prior to joining Onex, Yonah served as Chief Compliance Officer and Associate General Counsel for the Alternatives business at Neuberger Berman, comprising several private… Read full bio

Jacqueline Giammarco

Principal and Chief Compliance Officer, Stone Point Capital

Jacqueline is a Principal and Chief Compliance Officer of Stone Point Capital. Jacqueline joined Stone Point in 2012 and has more than 10 years of experience in the financial services industry. Former Experience: MF Global – Sr. Vice President &… Read full bio

James Gilligan

Chief Financial Officer and Chief Compliance Officer, Equity International

As Chief Financial Officer and Chief Compliance Officer of Equity International, James Gilligan oversees the accounting, treasury, investor relations, fundraising, communications, and compliance functions, and is a member of EI’s Management Committee… Read full bio

Shauna Harrison

Director of Compliance, PGIM, Inc. - Prudential Capital Group

Shauna Harrison is a Director of Compliance at PGIM, Inc., the global investment management business of Prudential Financial, Inc. Shauna provides compliance oversight to Prudential Capital Group a business unit within PGIM, Inc. Prior to joining Pru… Read full bio

Michael Henry

Managing Director and Chief Compliance Officer, Wafra

Michael Henry is a Managing Director and the Chief Compliance Officer for Wafra Inc., an SEC-registered investment adviser with assets under management (together with its affiliates) of over $23 billion allocated to private equity and venture capital… Read full bio

Miki Kamijyo

Managing Director and Chief Compliance Officer, Annaly Capital Management,Inc.

Miki Kamijyo is the Chief Compliance Officer at Annaly Capital Management, Inc. Ms. Kamijyo has reporting lines to the Board Audit Committee and leads the Corporate Compliance Group. She was most recently the Chief Compliance Officer and Legal Counse… Read full bio

Fizza Khan

CEO & Founder, Silver Regulatory Associates

Bio coming soon...

Kabir Masson

Associate General Counsel & Deputy Chief Compliance Officer, GI Partners

Kabir Masson is Associate General Counsel & Deputy Chief Compliance Officer at GI Partners. Prior to joining GI Partners, Mr. Masson was Vice President & Counsel at Deutsche Bank. Prior to Deutsche Bank, he practiced law at Cleary Gottlieb St… Read full bio

John McGuinness

Chief Compliance Officer and Corporate Counsel, StepStone Group

John McGuinness leads the Compliance team at StepStone Group, where he serves as Chief Compliance Officer and Corporate Counsel. Prior to joining StepStone, Mr. McGuinness was a vice president at Goldman Sachs Asset Management, where he served as a c… Read full bio

T.A. McKinney

General Counsel & Chief Compliance Officer ,CapitalSpring

T. A. McKinney is the General Counsel and Chief Compliance Officer of CapitalSpring, a $1.5 billion alternative asset manager focused exclusively on the franchised and branded restaurant sector. T.A. is a corporate attorney with substantial experienc… Read full bio

Chad Neale

Partner, ACA Aponix

Chad Neale is a Partner at ACA Aponix, the cybersecurity and IT risk division of ACA Compliance Group. ACA Aponix focuses on independent, holistic technology risk assessments and advisory services for financial firms and as part of M&A due dilige… Read full bio

Nadir Nurmohamed

Chief Compliance Officer, Searchlight Capital Partners

Mr. Nurmohamed is the Chief Compliance Officer and Senior Legal Counsel of Searchlight Capital Partners Prior to joining Searchlight in 2014, Mr. Nurmohamed worked as an Associate at Osler, Hoskin & Harcourt LLP in Toronto where he focused on M… Read full bio

Arthur Price

Chief Compliance Officer, Thomas H. Lee Partners, LP

Arthur B. Price is Chief Compliance Officer and Assistant General Counsel at Thomas H. Lee Partners, L.P. (“THL”), a private equity firm based in Boston. Prior to joining THL in 2011, Mr. Price practiced law at Ropes & Gray LLP. Mr. Price holds a… Read full bio

Abrielle Rosenthal

Co-Chief Human Resources Officer, TowerBrook Capital Partners LP

Ms. Rosenthal is a Managing Director, Chief Compliance Officer and co-Chief Human Resources Officer of TowerBrook Capital Partners. TowerBrook is an investment management firm with over $13 billion assets under management and a strong history of crea… Read full bio

Leigh Rovzar

General Counsel and Chief Compliance Officer, Declaration Partners, LP

Leigh is a Partner, General Counsel, and Chief Compliance Officer of Declaration Partners LP. Prior to joining Declaration, Leigh was a Senior Vice President and Co-Head of the Legal Department at Magnitude Capital. Previously, Leigh worked as an Ass… Read full bio

Igor Rozenblit

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

Igor Rozenblit is the Co-Head of the SEC’s Private Funds Unit. The Private Funds Unit is part of the Office of Compliance Inspections and Examinations and is responsible for developing expertise in and conducting examinations of advisers to private f… Read full bio

Nabil Sabki

Partner, Latham and Watkins

Nabil Sabki is a partner in the Chicago office of Latham and Watkins. Mr. Sabki's practice focuses on the representation of financial service companies, such as registered investment advisers, private equity and hedge fund managers, private investmen… Read full bio

Jerry Sanchez

Senior Vice President and Chief Compliance Officer, EIG Global Energy Partners

Jerry Sanchez is a Senior Vice President and the Chief Compliance Officer of EIG Global Energy Partners. Prior to joining EIG, Mr. Sanchez was the Chief Investment Counsel for Utah Retirement Systems, a defined benefit plan with a large allocation to… Read full bio

Adriana Sanford, J.D., Dual LL.M.

Senior Fellow, Center for Intelligence and National Security, University of Oklahoma

Dr. Adriana Sanford is an award-winning Chilean American cybersecurity and global privacy law expert, an international corporate lawyer, educator, author, and international television commentator, who appears regularly as a CNN Español analyst to ove… Read full bio

Daren Schneider

CFO, CCO, JLL Partners, LLC

Daren Schneider, Chief Financial Officer and Chief Compliance Officer, joined JLL Partners in 2018. Mr. Schneider, a seasoned finance professional with over 20 years of experience in private equity, plays a leading role in the firm's management, incl… Read full bio

Steven Schwab

Director, Legal and Chief Compliance Officer, Thoma Bravo

Steven Schwab is Thoma Bravo’s Director of Legal and Chief Compliance Officer and is based in Chicago. In his role, Steven’s responsibilities include legal, compliance and regulatory matters at Thoma Bravo; including the design, implementation and op… Read full bio

Jason Scoffield

Senior Compliance Counsel & Fund Counsel, Audax Group

Jason is the Senior Compliance Counsel and Fund Counsel for Audax Group, based in Boston. Prior to joining Audax in 2015, Jason worked at Morgan, Lewis & Bockius LLP and Bingham McCutchen LLP as Counsel, where he advised private fund clients and… Read full bio

Steven Spencer

General Counsel, Siris Capital Group, LLC

Steven Spencer is 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. Previously, he was… Read full bio

Guy Talarico

CEO, Alaric Compliance Services, LLC

Guy F. Talarico is the Founder and Chief Executive Officer of Alaric Compliance Services LLC, one of the nation's leading regulatory compliance consulting firms. Established in 2004, Alaric Compliance provides regulatory compliance support, including… Read full bio

Daniel Whitcomb

Managing Director and Chief Compliance Officer, Siguler Guff and Company, LP

Daniel Whitcomb is a Managing Director at Siguler Guff and serves as the Firm’s Chief Compliance Officer. Mr. Whitcomb is responsible for oversight of Siguler Guff's compliance program and all compliance-related initiatives. Prior to joining Siguler… Read full bio
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Satisfy your continuing education credit requirements

New for this year, attendees can now fulfill their CLE credit requirements in addition to CPE credits!

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.

Pre-Event Resources

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2020 Brochure

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2020 Agenda