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.

Speakers include

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Keynote speaker


Adriana Sanford, J.D., DUAL LL.M.
Senior Fellow, Center for Intelligence and National Security
University of Oklahoma

Agenda highlights include:

» 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

Download the 2020 brochure

Download the 2020 brochure now to view the keynote, speaker line-up, advisory board and the agenda-at-a-glance. This year’s revamped program will touch on all of your most pressing compliance and regulatory needs including: fees and expenses, valuation, ESG, cybersecurity, conflicts of interest and so much more!

Last year's attendees included:

Am Fam Ventures
Bain Capital, LP
Barings
Brookfield Asset Management
CCMP Capital
Clearlake Capital Group
Frontier Capital
GTIS Partners
Irving Place Capital
Kainos Capital
Kohlberg & Company
LaSalle Investment Management
Oak Hill Capital Partners
The Riverside Company
Silver Lake
Starr Investment Holdings LLC
StepStone Group
Stone Point Capital
Vector Capital
Welsh, Carson, Anderson & Stowe
Wynnchurch Capital, LLC

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.

2020 Agenda

View each tab below to explore the 2020 agenda featuring breakouts, panel discussions, working groups and networking opportunities for this year’s Forum.

For speaking opportunities, contact Alma Subasic, J.D. at alma.s@peimedia.com.

Day 1 Day 2
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Agenda

Day 1 - Wednesday 13th

Registration & breakfast
07:45 - 08:45

Registration & networking breakfast

General sessions
08:45 - 09:00

PEI and Chairperson welcome

09:00 - 09:45

Latest developments and impact of the 2020 election/Brexit on private funds

Jacob Comer, John McGuinness
  • Status of the potential expansion of private equity industry into retail sector
    • What does the market for retail investing in private equity space look like?
    • What products are currently available in order to make retail investing possible?
  • Rise of interval funds
    • What are they and what’s been their utilization thus far?
    • As private equity firms look to expand their distribution into interval funds, is greater scrutiny over the core business expected from the SEC?
  • Exploring potential impact of 2020 election on private equity industry
  • Analyzing existing and potential impact of Brexit
    • How is the ability to market in the UK affected?
  • Examining regulatory considerations with respect to subscription lines

 

Panelists:
Jacob Comer, Chief Compliance Officer, Altpoint Capital Partners, LLC
John McGuiness, Chief Compliance Officer and Corporate Counsel, StepStone Group

A speaker photo for Jacob Comer

Jacob Comer

Chief Compliance Officer, formally Altpoint Capital Partners LP

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A speaker photo for John McGuinness

John McGuinness

Chief Compliance Officer and Corporate Counsel, StepStone Group

Read bio
09:45 - 10:30

Keynote interview : The most dangerous compliance challenges in an ever-changing global security landscape

Adriana Sanford, J.D., DUAL LL.M.
  • Examining risks and critical challenges posed by the complex and rapidly evolving set of global data privacy regulations, with a focus on EU General Data Protection Regulations (GDPR) violations, and new developments on the horizon
  • Gaining an understanding of the unique challenges posed to traditional regulatory models
  • Acquiring an understanding of the complex and often inconsistent privacy and data protection standards, the new burdens under the California Consumer Privacy Act (CCPA), as well as business and legal risks associated with non-compliance
  • Identifying which foreign regulators are stepping up enforcement, which jurisdictions have a higher risk of non-compliance, and what the more pressing issues are that will be the focus of their efforts
  • Exploring which foreign landmark rulings may have extra-territorial implications on US businesses (including small and medium-size companies) and significant areas of cyber law currently in flux in the courts
  • Discovering recent trends across the globe to help address regulatory divergence

 

Keynote:
Adriana Sanford, J.D., dual LL.M.,
Senior Fellow, Center for Intelligence and National Security, University of Oklahoma

 

A speaker photo for Adriana	 Sanford, J.D., DUAL LL.M.

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

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

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10:30 - 11:00

Networking break

11:00 - 12:00

ESG considerations for private equity funds

Dominick Barbieri , Amy Brusiloff, Catherine Coyler

This session will identify and explain the primary approaches a fund can take to incorporating ESG, from meeting minimum requirements to being a “pure” social impact fund. We will discuss ESG compliance issues, including how to incorporate ESG into investments, how to monitor compliance, and whether there is a market for dedicated social impact funds.

Panelists:

Dominick Barbieri, Associate General Counsel and Deputy Chief Compliance Officer, Palladium Equity Partners 
Amy Brusiloff,
Senior Vice President, ESG Capital Deployment, Bank of America
Catherine Coyler,
Chief Compliance Officer, WaterEquity

A speaker photo for Dominick  Barbieri

Dominick Barbieri

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

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A speaker photo for Amy	 Brusiloff

Amy Brusiloff

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

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A speaker photo for Catherine  Coyler

Catherine Coyler

Chief Compliance Officer, WaterEquity

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12:00 - 13:00

Networking luncheon

13:00 - 13:45

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

Jennifer Cattier, Jason Scoffield
  • What is there for a compliance officer to pay attention to when a new strategy (e.g., debt fund) is contemplated by a firm’s management?
  • What mechanisms would be useful to have in place to identify new risks as they arise (i.e., is it useful to have a risk committee or to have direct contact with senior management or something else?)
  • What is the process by which a compliance professional can work to establish policies and procedures to mitigate these risks?
  • Practical strategies for dealing with conflicts when a firm is engaged in multiple strategies
    • How to monitor and track these conflicts
    • Should a specific conflict policy be in place?
    • Would a risk matrix be helpful here?

Panelists:

Jennifer Cattier, General Counsel and Chief Compliance Officer, Almanac Realty Investors, LLC
Jason S. Scoffield, Senior Compliance Counsel & Fund Counsel, Audax Group

A speaker photo for Jennifer  Cattier

Jennifer Cattier

General Counsel & Chief Compliance Officer, Almanac Realty Investors, LLC

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A speaker photo for Jason Scoffield

Jason Scoffield

Senior Compliance Counsel & Fund Counsel, Audax Group

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13:45 - 14:30

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

Daren Schneider, Steven Spencer
  • What is the industry currently doing – do these proposals have any impact on current policies and procedures?
  • How challenging does the industry anticipate the potential rule’s adoption will be?
  • At this time, what are the restrictions applicable to marketing materials?
  • Who should review and approve marketing materials?
  • As more and more firms are engaging in social media advertising, how do proposed rules apply to social media platforms?

 

Panelists:

Daren Schneider, Chief Financial Officer and Chief Compliance Officer, JLL Partners, LLC
Steven Spencer,
Partner and General Counsel, SIRIS Capital Group, LLC

A speaker photo for Daren  Schneider

Daren Schneider

CFO, CCO, JLL Partners, LLC

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A speaker photo for Steven  Spencer

Steven Spencer

Partner & General Counsel, Siris Capital Group, LLC

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14:30 - 14:45

Networking break

Breakout series I
14:45 - 15:30

Track A | What should a compliance executive think about when a business enters into a co-investment arrangement

Guy Talarico, Teresa Bernstein , Arthur Price
  • Suggested good industry practice for allocating deals fairly
  • What are the risks and rewards associated with doing co-investments
  • Allocation of expenses with co-investors
  • If there is a failure to close on a co-investment, how are expenses allocated?

 

Moderator:
Guy Talarico, CEO, Alaric Compliance Services, LLC

Panelists:
Teresa Bernstein, Chief Operating Officer, GC and CCO, ACON Investments, LLC
Arthur Price,
Chief Compliance Officer, Thomas H. Lee Partners, L.P.

A speaker photo for Guy Talarico

Guy Talarico

CEO, Alaric Compliance Services, LLC

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A speaker photo for Teresa	 Bernstein

Teresa Bernstein

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

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A speaker photo for Arthur Price

Arthur Price

Chief Compliance Officer, Thomas H. Lee Partners, LP

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14:45 - 15:30

Track B | Conflicts of interest: What Is SEC looking for

Yonah Feder, Nabil Sabki
  • What have firms been experiencing during exams with respect to the conflicts of interest?
    • What is of a particular interest to the SEC at this time?
    • What are recommended controls and processes in this respect?
  • In view of potential conflicts, what are the suggested procedures for allocating deals across funds
  • How are expenses allocated at a portfolio company level?
  • When a conflict arises in the course of business, how to address/mitigate it since it can’t be disclosed in advance?


Facilitators:
Yonah Feder, Chief Compliance Officer, Onex Corporation 
Nabil Sabki, 
Partner, Latham & Watkins

A speaker photo for Yonah Feder

Yonah Feder

Chief Compliance Officer, Onex Corporation

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A speaker photo for Nabil Sabki

Nabil Sabki

Partner, Latham & Watkins

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Breakout series II
15:30 - 16:30

Track C | Pointers on avoiding and mitigating the impact of a cyber event

Jacqueline Giammarco, Miki Kamijyo

Technical aspect

  • What protections do firms generally have in place now and how successful has it been in protecting them against an attack?
  • What this protections should look like and where does a majority of firms fall short?
    • Specifics on physical access to servers; two-factor authentication for accessing the network at home, etc.
  • Penetration testing:  how often should it be performed?

Compliance aspect

  • What’s compliance and what’s related to technology and doing business:  what does cyber security mean from a compliance, not technological, perspective?;
  • How involved should a compliance officer be and what should he/she know?  (e.g., should a CCO have IT personnel with him/her during exams?)
  • Developing a checklist of things to do to ensure adequate protections are in place
  • Policies and procedures for breaches:  In the event of a breach, what needs to happen and who does what?
  • What should processes for wire control look like?

Cyber security at a portfolio company level

  • In light of the SEC’s requirement that fund managers be more involved, what should fund managers be doing with respect to their portfolio companies’ network security? What analysis should the firms be doing to asses cyber risk at portfolio companies?
  • Should it be limited to doing due diligence upfront before investing or should it be a more thorough and continued monitoring process?
  • Ways to balance the need to be involved vs not stepping over the line and getting into the weeds of what a portfolio company should be responsible for


Facilitators:
Jacqueline Giammarco,
Principal and Chief Compliance Officer, Stone Point Capital
Miki Kamijyo,
Managing Director and Chief Compliance Officer, Annaly Capital Management, Inc.

A speaker photo for Jacqueline Giammarco

Jacqueline Giammarco

Principal and Chief Compliance Officer, Stone Point Capital

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A speaker photo for Miki  Kamijyo

Miki Kamijyo

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

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15:30 - 16:30

Track D | CCO and CFO and COO and…small(er) firm compliance challenges

James Gilligan , Noah Leichtling , Nadir Nurmohamed
  • Practical strategies for executing compliance functions for CCOs wearing dual or multi-hats
  • What are the most important compliance tasks that need to be executed in order for an officer to feel comfortable that enough has been done?
  • Effectively handling personal trading and its reporting requirements at a smaller firm
  • IT security for smaller firms


Facilitators:
James Gilligan,
Chief Financial Officer and Chief Compliance Officer, Equity International 
Noah Leichtling,
Partner, General Counsel and Chief Compliance Officer, Gamut Capital Management 
Nadir Nurmohamed,
Chief Compliance Officer,  Searchlight Capital Partners

A speaker photo for James	 Gilligan

James Gilligan

Chief Financial Officer and Chief Compliance Officer, Equity International

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A speaker photo for Noah Leichtling

Noah Leichtling

Partner, General Counsel and Chief Compliance Officer, Gamut Capital Management

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A speaker photo for Nadir  Nurmohamed

Nadir Nurmohamed

Chief Compliance Officer, Searchlight Capital Partners

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Networking break
16:30 - 16:45

Networking break

Breakout series III
16:45 - 17:30

Track E | When is it absolutely necessary to create European-registered investment vehicles

Jerry Sanchez , Daniel Whitcomb
  • Determining if a US Fund is even impacted by the AIFMD: Do you register or not?
  • When is it necessary to set up a local AIFM and when can it be outsourced?
  • If it is necessary to develop a local fund:
    • How to work with service providers?
    • How to market it?
    • What it means to manage it from the US?
  • Where is the overlap with the SEC’s Forms PF and ADV; what data is already captured and what’s new?
  • Best practices with respect to outsourcing of the reporting
  • Doing deals under AIFMD
    • What are the restrictions on deal structuring?
    • What is the impact on US deals that may have European subsidiaries?

Facilitators:
Jerry Sanchez, Senior Vice President and Chief Compliance Officer, EIG Global Energy Partners
Daniel Whitcomb,
Managing Director and Chief Compliance Officer, Siguler Guff & Company, LP

A speaker photo for Jerry  Sanchez

Jerry Sanchez

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

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A speaker photo for Daniel	 Whitcomb

Daniel Whitcomb

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

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16:45 - 17:30

Track F | Addressing the heightened emphasis on AML globally

Kelly Pettit
  • Overview of AML requirements in a global context
    • For those firms that need to comply with global AML regulations, what is the best strategy for doing that (i.e., is it the case that if a firm has operations in Europe, it has to comply with European regulations; if in Caymans, then with Caymans’ directive, etc?)
  • What has been the impact thus far of the new Cayman laws?
  • What third-parties have firms been using to help with the AML compliance?
  • Best strategies for performing risk assessments and monitoring


Facilitators:
Kelly Pettit, Chief Compliance Officer, General Atlantic 
Kevin Power,
Head of Compliance, Americas, Pantheon Ventures

A speaker photo for Kelly Pettit

Kelly Pettit

Chief Compliance Officer, General Atlantic

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Closing remarks
17:30 - 17:35

Chairperson closing remarks

Cocktail reception
17:35 - 18:30

Cocktail reception

Agenda

Day 2 - Thursday 14th

Registration & breakfast
07:45 - 09:00

CCO Think Tank (invite-only) | Being a part of the business: How does a CCO continue to show value and be an integrated member of a team

  • Practical side of being a CCO
    • Bringing concerns to the business side
  • How to effectively say “no” to senior executives: what things should a CCO push back against?
  • Ways to ensure that the business side continues to see value in the compliance function as well as the importance of keeping compliance team members in the loop at all times
08:00 - 09:00

Registration & networking breakfast

General sessions
09:00 - 09:15

Chairperson opening remarks

09:15 - 10:15

Ensuring the effectiveness of current and developing additional processes and controls for a successful management of a compliance department

Stephen Erwin , Shauna Harrison, Michael Henry
  • What should a CCO keep in mind when it comes to the management of a compliance department?
    • Resources
      • How to resource the department: Onshoring vs offshoring
    • Budgets
  • How to effectively execute a restructuring of a compliance department? Given that a lot of firms are looking to expand, what are the suggestions for deciding who will be doing what and how to develop a focused working groups to track everything?
  • Performing a mock audit: What should its scope be – full or limited?  How frequently should it be performed?  Should a third-party vendor do it or should it be done internally?  If a third-party vendor should be doing it, whom do firms generally use?
  • How to effectively perform forensic testing around accounting and trading activity?
  • Real-world examples for testing and monitoring: What are compliance teams missing and  should be doing to identify risks?
  • Ensuring compliance has a seat at the table

What should the internal risk function look like

  • Do firms use risk matrices to identify everything that can potentially go wrong and what to do in the event of any of these occurring? (e.g., error in financial statements – what to do?; harassment complaint – what to do if this claim is made against a firm and what to disclose to prospective clients? etc.)

Rise in operational due diligence

Fund managers who demonstrate diligence within a spectrum of operational issues better position themselves to attract and retain investors

What technology do firms use currently to help them automate certain compliance tasks

  • Other than the code of conduct, where are compliance professionals using technology to help them? (e.g., onboarding investors? vendor management?)
  • Whom are firms generally using?
  • Use of technology to help with allocating deals fairly among funds managed by a firm
  • Workflow management
  • Use of programs that facilitate creation and review of marketing materials
  • Incorporating AI and machine learning into compliance programs

CCO’s personal liability

  • Addressing SEC’s recently increased focus on CCO’s personal liability
  • What risks should a CCO be aware of?

 

Panelists:
Stephen Erwin, Chief Legal and Compliance Officer, JCR Capital
Shauna Harrison,
Director of Compliance, PGIM,Inc.- Prudential Private Capital Group
Michael Henry,
Managing Director, Chief Compliance Officer, Wafra

A speaker photo for Stephen  Erwin

Stephen Erwin

Chief Legal and Compliance Officer, JCR Capital

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A speaker photo for Shauna Harrison

Shauna Harrison

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

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A speaker photo for Michael  Henry

Michael Henry

Managing Director and Chief Compliance Officer, Wafra

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10:15 - 11:00

Key takeaways from the SEC exams

Igor Rozenblit
  • What has the industry been seeing in regulatory exams?
  • What is the SEC’s focus currently?

 

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

A speaker photo for Igor Rozenblit

Igor Rozenblit

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

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11:00 - 11:15

Networking break

Breakout series IV
11:15 - 12:00

Track G | Designing a data privacy program that meets various sates’ CCPA-like standards

  • Addressing the practical implications of CCPA:
    • How feasible is it for private equity firms to implement CCPA requirements?
    • How to treat employees’ personal information? LPs’? Other third-parties’ personal information?
  • What are the overlaps between various jurisdictions?
  • Performing GAP analysis
  • How does it compare to the GDPR?
  • How to think through data privacy issues if one is a US-based firm which also has exposure to Europe?
  • Should fund managers insist that the portfolio companies pay attention to the CCPA and GDPR compliance?

Working with IT/data management team members in order to sensitize them as to what the regulations are as well as what is feasible to do now as opposed to what will be long-term cost-intensive approach data management categorization

11:15 - 12:00

Track H | How Involved Should Compliance Be in a Valuation Process

Matthew Barbato, Leigh Rovzar
  • In addition to the deal team, who should participate in the process and make sure there is independence in valuation?
  • Should there be separate valuation committees?
  • When is it advisable to use a third-party appraiser?
  • How involved should compliance be (i.e., should they just be sitting on committees or should they check documents and test inputs of valuation, etc)

Facilitators:
Matthew Barbato,
Deputy Chief Compliance Officer, Hamilton Lane
Kabir Masson,
Associate General Counsel and Deputy Chief Compliance Officer, GI Partners
Leigh Rovzar, General Counsel and Chief Compliance Officer, Declaration Partners, LP

A speaker photo for Matthew	 Barbato

Matthew Barbato

Deputy Chief Compliance Officer, Hamilton Lane

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A speaker photo for Leigh Rovzar

Leigh Rovzar

General Counsel & Chief Compliance Officer, Declaration Partners, LP

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Breakout series V
12:00 - 12:45

Track I | Developing workable policies for vendor management

  • How to develop a policy around vendor management? What are the most important items that should be in vendor agreements?
  • How to centralize the process?
  • Is a procurement individual needed?
  • How to manage it all when there are many vendors:
    • How to risk-rate your vendors? Developing different touch points with key vendors
    • Is it recommended to have a third-party to help with the review of vendors? What technology is the industry using for vendor management and how decisions are made to outsource that?
    • What is the basic roadmap of things to accomplish when there are 100s of vendors?
    • If some vendors are not complying with a manager’s requirements, what steps should be taken with respect to obstructing vendors? What needs to be shown to the SEC to prove that a manger did its best to address a particular vendor’s practices?

Facilitators:
Dan Reid,
Chief Compliance Officer and General Counsel, L Catteron 
Abrielle Ronsenthal,
Managing Director, Chief Compliance Officer, TowerBrook Capital Partners, L.P.

12:00 - 12:45

Track J | Clarifying what exactly can be charged back and how to effectively treat expenses when they occur

T.A. McKinney , Steven Schwab
  • What additional items are managers looking to charge back? What mechanism do firms have in place to review “gray” expenses which are not clear? What about one off expenses or if an expense is not mentioned in an LP agreement?
  • Suggested ways for effectively building into agreements that a manger will charge particular costs to a fund
    • How can compliance teams ensure that these items are appropriately disclosed?
  • How to operationally monitor fees and expenses allocation?
  • What processes do firms have in place to ensure expenses charged to LPs are in accordance with fund documents?
    • Back-testing; sampling of expenses charged to funds; monthly internal reports that need to be reviewed? Etc.

Allocation of expenses

  • Suggested ways for allocating expenses across funds – what do firms generally do? What can be allocated in the first place? What should be a portfolio company’s expense vs fund’s vs advisor’s?

Suggested strategies around dead deal expense allocations

Facilitators:
T.A. McKinney, 
General Counsel and Chief Compliance Officer, CapitalSpring
Steven A. Schwab,
Director, Legal and Chief Compliance Officer, Thoma Bravo

A speaker photo for T.A. McKinney

T.A. McKinney

General Counsel & Chief Compliance Officer ,CapitalSpring

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A speaker photo for Steven 	 Schwab

Steven Schwab

Director, Legal and Chief Compliance Officer, Thoma Bravo

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Closing remarks
12:45 - 12:50

Chairperson closing remarks

Networking luncheon
12:50 - 13:45

Networking luncheon

Speakers

Interested in speaking at the 2020 Forum? Please contact Alma Subasic, J.D. at alma.s@peimedia.com or +1 646-356-4521

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

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 & Chief Compliance Officer, Almanac Realty Investors, LLC

Bio coming soon...

Jacob Comer

Chief Compliance Officer, formally Altpoint Capital Partners LP

Bio coming soon...

Catherine Coyler

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

Noah Leichtling

Partner, General Counsel and Chief Compliance Officer, Gamut Capital Management

Noah Leichtling is a Partner, General Counsel and Chief Compliance Officer of Gamut. Prior to joining Gamut, Mr. Leichtling was a Partner and Head of the New York Corporate Group at Katten Muchin Rosenman LLP, where his principal areas of practice we… 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

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

Kelly Pettit

Chief Compliance Officer, General Atlantic

Kelly Pettit is the Chief Compliance Officer and Associate General Counsel at General Atlantic. She oversees the firm’s global regulatory compliance program and works on capital partnering and general legal matters as part of the firm’s Legal and Com… 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

Managing Director, Chief Compliance Officer and 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. Prior to joining TowerBrook, Ms. Rosenthal was a corporate partner in the London office of Kirkland & Ellis advising U.S. and Europ… Read full bio

Leigh Rovzar

General Counsel & 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 & Watkins

Nabil Sabki is a partner in the Chicago office of Latham & 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 investm… 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

Partner & General Counsel, Siris Capital Group, LLC

Steven 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. P… 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 & 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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2020 Sponsors

The Forum offers a unique opportunity for organizations to raise their profile by meeting with the largest gathering of private equity marketing and communications professionals across two days of sessions.

For exclusive sponsorship packages, contact Jimmy Kurtovic at jimmy.k@peimedia.com or +1 646 795 3273.

Meet the advisory board members

Jacqueline Giammarco
Principal and Chief Compliance Officer
Stone Point Capital

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

Kelly Pettit
Senior Vice President, Chief Compliance Officer and Associate General Counsel
General Atlantic

Abrielle Rosenthal
Managing Director
Chief Compliance Officer
TowerBrook Capital Partners

Steven Schwab
Director, Legal and
Chief Compliance Officer
Thoma Bravo

Convene, 730 Third Ave, New York, NY 10017

Venue

The Benjamin Hotel, 125 East 50th Street, NY, NY 10022

Hotel accommodations

Hotel accommodations booking

We have arranged a special conference rate at The Benjamin Hotel, 125 East 50th Street, NY, NY 10022. Rooms are limited and are on a first-come-first-served basis; early booking is strongly advised. Deadline to book is April 21, 2020. 
Click HERE to directly book.

 

 

 

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

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2019 Attendee list

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Compliance whitepaper