Examining private fund finance & 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 Forum San Francisco 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

2019 speakers

Keynote speaker

Melissa Dickerson
Chief Financial Officer and Managing Director, Operations
Genstar Capital

Featured SEC speaker

Erin Schneider
Director, San Francisco Regional Office
U.S. Securities and Exchange Commission

Featured SEC speaker

Kristin Snyder
Co-Deputy Director, Office of Compliance Inspections and Examinations (OCIE)
U.S. Securities and Exchange
Commission

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 refreshment breaks, drinks receptions and networking lunches.

CFO/CCO hot topics
Discover new ways to deal with conflicts of interest, cybersecurity, tax changes, expense allocations and valuations.

2019 brochure now available for download! 

Download the brochure to view:

– Speaker lineup

– Agenda highlights 

– Networking opportunities 

– Discussion topics

and more! 

What our attendees say about the event

A quote icon for decorating the content Noah Becker

CFO, LLR Partners

Very well done and good mix of topics and speakers.

A quote icon for decorating the content David Ludwig

Director Business Development, Vistra

Good conference, lot’s of C-level exec’s. The outsourcing breakout session was excellent!

A quote icon for decorating the content Bryan Hiller

Business Development Executive, Kroll

Excellent group of participants highly engaged throughout.

Last year's attendees

Aberdeen Standard Investments
ACA Aponix
Ares Management, LLC
Bain Capital, LP
City and County of San Francisco
Clearlake capital Group, L.P.
GI Partners
Insight Equity
Kirkland & Ellis
KKR
KSL Capital Partners
Liberty Advisor Group
Monroe Capital, LLC
Pathway Capital Management LP
Prologis
Ridgemont Equity Partners
SEI
Spectrum Equity
Starr Investment Holdings LLC
TPG
U.S. Securities and Exchange Commission
Vance Street Capital
Vistra

Up to 12 CPE credits available 

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.

Agenda

For more information on the agenda, or to propose a speaker, please contact:
Zakira Ralling at zakira.r@peimedia.com or +1 646-545-3321

Day 1 Day 2
View agenda page

Agenda

Day 1 - Thursday 3rd

Breakfast & registration
07:30 - 18:00

Registration

08:00 - 09:00

Think tank breakfast (invite only): CFO Think Tank

  • CFO perspectives and best practices

 

08:00 - 09:00

Think tank breakfast (invite only): CCO / GC Think Tank

  • CCO and GC perspectives and best practices
08:00 - 09:00

Welcome breakfast

General session
09:05 - 09:10

PEI welcome

Seth Kerker, Director Events – Americas, PEI

09:10 - 09:15

Chairman’s welcome

09:15 - 09:55

Keynote fireside chat

Melissa Dickerson

During her tenure at Genstar, Melissa has built out the private equity firm’s operational infrastructure as the firm grew from $200 million to $9 billion in assets under management. Concurrently, Genstar acquired 52 platform investments, while divesting 33, and has doubled its staff.

  • In 2018, Melissa was named one of the “Top Ten Women Business Leaders in Private Equity” by Bold Business.
  • In December 2017, Melissa was named one of the 35 “Most Influential Women in Mid-Market M&A” by Mergers & Acquisitions.

Keynote interviewee:
Melissa Dickerson,
Chief Financial Officer & Managing Director, Operations, Genstar Capital

Interviewer:
Jane Goodman, Partner, EY

A speaker photo for Melissa Dickerson

Melissa Dickerson

Chief Financial Officer and Managing Director, Operations, Genstar Capital

Read bio
09:55 - 10:45

CFO roundtable: on the frontline

Joshua Cherry-Seto, Andrew W. Petri
  • What are currently the biggest risks facing private equity?
  • Operational Due Diligence: What questions are investors asking? How do we improve operational efficiency?
  • Outsourcing: perceived challenges of outsourcing to third-party service providers
  • Fundraising
  • Valuation (boosting Port Co. value)
  • Identifying top priorities to deal with operational complexity
  • Fee pressures from investors
  • How are PE firms vesting their carried interest?
  • Strategies for finding undervalued assets in the current market
  • Growing your firm in the current competitive environment (how to build a billion dollar + firm)

Panelists:
Joshua Cherry-Seto, Chief Financial Officer and Chief Compliance Officer, Blue Wolf Capital Partners
Andrew W. Petri, Chief Financial Officer, Pfingsten Partners

A speaker photo for Joshua Cherry-Seto

Joshua Cherry-Seto

Chief Financial Officer and Chief Compliance Officer, Blue Wolf Capital Partners

Read bio
A speaker photo for Andrew W. Petri

Andrew W. Petri

Chief Financial Officer, Pfingsten Partners

Read bio
10:45 - 11:05

Morning networking break

11:05 - 11:55

SEC examination priorities

Jason E. Brown, Michael Altschuler, Amelia Stoj
  • Increased focus on conflicts of interest matters and portfolio management issues
  • Fees and expenses
  • Digital assets and cybersecurity
  • Portfolio management and Trading

Moderator:
Jason Brown,
Partner, Ropes & Gray

Panelists:
Michael Altschuler, Chief Administrative Officer & General Counsel, Comvest Partners
Amelia Stoj,
CCO, Director of Investor Relations and Registered In-House Counsel, Foresite Capital

A speaker photo for Jason E. Brown

Jason E. Brown

Partner, Ropes & Gray LLP

Read bio
A speaker photo for Michael Altschuler

Michael Altschuler

Chief Administrative Officer and General Counsel. Comvest Partners

Read bio
A speaker photo for Amelia Stoj

Amelia Stoj

Chief Compliance Officer, Director of Investor Relations and Registered In-House Counsel, Foresite Capital

Read bio
11:55 - 12:45

All things tech

James V. Gaven, Casey Santos
  • Implementing data automation
  • Is it possible finding the ROI of a tech investment?
  • When is it time to upgrade your tech?
  • The future of PE highlighting AI, cloud tech, data storage
  • Outsourcing tech needs

Panelists:
James V. Gaven, Senior Counsel and Chief Compliance Officer, Welsh, Carson, Anderson & Stowe
Casey Santos, Senior Vice President and Chief Information Officer, General Atlantic

A speaker photo for James V. Gaven

James V. Gaven

Senior Counsel and Chief Compliance Officer, Welsh, Carson, Anderson & Stowe

Read bio
A speaker photo for Casey Santos

Casey Santos

Senior Vice President and Chief Information Officer, General Atlantic

Read bio
Afternoon sessions
12:45 - 14:15

Networking lunch

14:15 - 15:05

Compliance roundtable: navigating an increasingly complicated regulatory landscape

Steve Eisner, Krista Killian, Gwen Reinke, Heather R. Zuzenak
  • How to interpret the new AICPA rules
  • Regulatory change and political uncertainty
  • Market risk and high-risk products
  • Cooperation and self-reporting
  • Conduct risk and sexual harassment
  • Personal liability
    • Conflicts of interest
    • Outside business activities

Moderator:
Jamila Abston, Partner, EY

Panelists:
Steve Eisner, 
General Counsel and Chief Compliance Officer, Francisco Partners Consulting
Krista Killian, Compliance Director, Americas, CVC Capital Partners
Gwen Reinke, Chief Compliance Officer, Vista Equity Partners
Heather R. Zuzenak, Chief Compliance Officer, Advent International Corporation

 

 

A speaker photo for Steve Eisner

Steve Eisner

General Counsel and Chief Compliance Officer, Francisco Partners Consulting

Read bio
A speaker photo for Krista Killian

Krista Killian

Compliance Director, Americas, CVC Capital Partners

Read bio
A speaker photo for Gwen Reinke

Gwen Reinke

Chief Compliance Officer, Vista Equity Partners

Read bio
A speaker photo for Heather R. Zuzenak

Heather R. Zuzenak

Chief Compliance Officer, Advent International Corporation

Read bio
Breakout series
15:05 - 15:50

Track A | Startups and early-stage growth: the pathway to success

CFOs and senior finance executives are taking on a greater role at startups and early-stage growth companies.

  • What should a VC add to a portfolio company?
  • Budgeting and planning
  • Cash Management
  • Board Preparation
  • HR & Legal
  • Establishing Metrics & Monitoring Success and failures
  • Leading Process Implementation
15:05 - 15:50

Track B | Private credit: compliance and risk management

  • How can PE fund address and minimize conflict when expanding into credit?
  • Strategic approaches to the formation and growth of a private debt fund
    • Are changes to your infrastructure necessary?
  • Mitigating allocation and compliance issues
  • What the SEC Sweep of Private Credit Firms Means for CCOs
15:05 - 15:50

Track C | New rules and regulations: The California Privacy Act

Alex Scheinman

The California Privacy Act comes into force on January 1, 2020 with a one-year look back provision, so it is essential that private fund managers understand how this will affect their data operations. The CCPA is coming and now is the time for PE funds to take action.

  • What does the law require business to do?
  • What exactly is personal data?
  • How will it affect PE firms?
  • How does the CCPA compare to the GDPR?
  • What does this mean for investment due diligence?
  • What other states will follow California’s lead?

Moderator:
Alex Scheinman, Director of Privacy, ACA Aponix

A speaker photo for Alex Scheinman

Alex Scheinman

Director of Privacy, ACA Aponix

Read bio
Afternoon sessions
15:50 - 16:15

Afternoon networking break

16:15 - 17:00

Taxation: What should PE firms expect in 2020?

Dan Drury
  • How will U.S. tax reform enacted before the close of 2017 continue to shape private equity activity in 2019 and 2020?
  • Carried interest could be a focus after 2020 elections – Is the end of the carried interest tax break nearing?
  • How has the passage of the Tax Cuts and Jobs Act affected the PE industry?
  • Important tax reform for venture capital firms
    • Research & Development Tax Credit Reform, QSBS Reform, 382 Safe Harbor and Stock Options Tax Deferral
    • Capital Gains Rate and Carried Interest and Capital Gains Rate Differential

Moderator:
Michael Behles, Partner, EY

Panelist:
Dan Drury, Tax Director, Makena Capital Management LLC

A speaker photo for Dan Drury

Dan Drury

Tax Director, Makena Capital Management LLC

Read bio
17:00 - 17:05

Chairman's closing remarks

17:05 - 18:05

Cocktail reception

Agenda

Day 2 - Friday 4th

General session
08:00 - 09:00

Breakfast

09:05 - 09:15

Chairman’s opening remarks

09:15 - 10:00

SEC update

Dale Thompson, CPA, Erin Schneider, Kristin Snyder

Moderator:
Dale Thompson, CPA, Assurance Partner, Asset Management Practice, BDO

Panelists:
Erin Schneider, Director, San Francisco Regional Office, U.S. Securities and Exchange Commission
Kristin Snyder, Co-Deputy Director, Office of Compliance Inspections and Examinations (OCIE), U.S. Securities and Exchange Commission

A speaker photo for Dale Thompson, CPA

Dale Thompson, CPA

Assurance Partner Asset Management Practice, BDO

Read bio
A speaker photo for Erin Schneider

Erin Schneider

Director, San Francisco Regional Office, U.S. Securities and Exchange Commission

Read bio
A speaker photo for Kristin Snyder

Kristin Snyder

Co-Deputy Director, Office of Compliance Inspections and Examinations (OCIE); National Associate Director of the Investment Adviser/Investment Company Examination Program, U.S. Securities and Exchange Commission

Read bio
10:00 - 10:45

Cyber risk management

  • Data Protection
  • Prioritizing cybersecurity in the due diligence processes
  • Formal vendor management program
  • Investing in next gen technology
  • How to write cybersecurity policies to avoid legal trouble
10:45 - 11:05

Networking break

11:05 - 11:50

Venture capital/growth equity: finance, administration & operations

  • Increasing LP and regulatory scrutiny
  • Accounting & auditing standards
  • Capital formation and regulation
    • Fundraising – Q1 fundraising is at an all-time high…Why?
  • Operating Principles
  • Entity formation and operations

Panelist:
Jessica Duran, Chief Financial Officer and Chief Compliance Officer, TSG Consumer Partners

11:50 - 12:35

TBD

12:35 - 12:40

Chairman's closing remarks

12:40 - 14:00

Networking lunch

Speaker lineup

Interested in speaking at the 2019 Forum?

Please contact Zakira Ralling at zakira.r@peimedia.com or call +1 646-545-3321

Michael Altschuler

Chief Administrative Officer and General Counsel. Comvest Partners

Michael serves as Chief Administrative Officer & General Counsel, and is responsible for Comvest’s administrative operations and legal function. Prior to joining Comvest, Michael spent five years as the general counsel and corporate secretary for a N… Read full bio

Jason E. Brown

Partner, Ropes & Gray LLP

Jason has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, venture capital funds, hedge funds, separate accounts and commodity pools. Representative Clients and Matters • Assisted numerou… Read full bio

Joshua Cherry-Seto

Chief Financial Officer and Chief Compliance Officer, Blue Wolf Capital Partners

Joshua Cherry-Seto is the Chief Financial Officer at Blue Wolf Capital Partners LLC, a family of private equity funds which focus on transformational investments in middle market companies. Mr. Cherry-Seto is responsible for fund and management compa… Read full bio

Melissa Dickerson

Chief Financial Officer and Managing Director, Operations, Genstar Capital

Melissa Dickerson is the Chief Financial Officer and Managing Director, Operations, of Genstar Capital, responsible for finance & accounting, regulatory compliance, risk management, technology and administration. She joined Genstar in 2004. From 1999… Read full bio

Dan Drury

Tax Director, Makena Capital Management LLC

Dan Drury is the Director of Tax at Makena Capital Management (“Makena”), an endowment-style investment firm founded by principals from leading North American investment organizations. Makena currently manages $19 billion through evergreen vehicles d… Read full bio

Steve Eisner

General Counsel and Chief Compliance Officer, Francisco Partners Consulting

Steve Eisner is the General Counsel and Chief Compliance Officer of Francisco Partners, where he oversees all legal and regulatory matters for the firm and its private equity funds. Prior to joining Francisco Partners, Mr. Eisner served as the Chief… Read full bio

James V. Gaven

Senior Counsel and Chief Compliance Officer, Welsh, Carson, Anderson & Stowe

James Gaven is Senior Counsel & Chief Compliance Officer, having joined WCAS in 2010. In addition to his legal and compliance responsibilities, Mr. Gaven helps coordinate the Firm’s ESG program. Previously, he worked at Kohlberg Kravis Roberts & Co.… Read full bio

Krista Killian

Compliance Director, Americas, CVC Capital Partners

Compliance Director for the Americas, joined CVC in 2017. Krista is a member of the Compliance team and is based in New York. Prior to joining CVC, she worked at FIS Global, where she was Corporate Counsel for the Global Trading Group. Krista graduat… Read full bio

Andrew W. Petri

Chief Financial Officer, Pfingsten Partners

Andrew joined Pfingsten in 2008 and is responsible for all financial, tax, compliance and administrative activities of the firm. Prior to joining Pfingsten, he worked with private equity, hedge fund, and broker-dealer audit clients in the Financial S… Read full bio

Gwen Reinke

Chief Compliance Officer, Vista Equity Partners

Gwen Reinke joined Vista in 2014 and is Vista’s Chief Compliance Officer. Ms. Reinke oversees the Vista’s Global regulatory and compliance functions, along with legal oversight for all internal Firm matters including fund formation and fundraising. P… Read full bio

Casey Santos

Senior Vice President and Chief Information Officer, General Atlantic

Casey Santos is the Chief Information Officer at General Atlantic and leads the firm’s Global Information Technology team. In this role, she oversees General Atlantic’s global information technology initiatives, including infrastructure, cybersecurit… Read full bio

Alex Scheinman

Director of Privacy, ACA Aponix

Alex Scheinman is the Director of Privacy at ACA Aponix, the cybersecurity and IT risk division of ACA Compliance Group. In this role, he oversees ACA Aponix’s data privacy compliance service. Prior to ACA, Alex served as a Privacy Manager in EY’s cy… Read full bio

Erin Schneider

Director, San Francisco Regional Office, U.S. Securities and Exchange Commission

Erin E. Schneider is the Director, San Francisco Regional Office in the U.S. Securities and Exchange Commission’s San Francisco office. Ms. Schneider began working in the San Francisco office in 2005 as a staff attorney and became an Assistant Region… Read full bio

Kristin Snyder

Co-Deputy Director, Office of Compliance Inspections and Examinations (OCIE); National Associate Director of the Investment Adviser/Investment Company Examination Program, U.S. Securities and Exchange Commission

Kristin Snyder is the Co-Deputy Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE) as well as OCIE’s National Associate Director of the Investment Adviser/Investment Company Examination Program. Ms. Snyder also serves as t… Read full bio

Amelia Stoj

Chief Compliance Officer, Director of Investor Relations and Registered In-House Counsel, Foresite Capital

Amelia joined Foresite Capital in 2017 as Director of Investor Relations and Registered In-House Counsel, and serves as Chief Compliance Officer. She brings more than ten years of combined professional experience in the compliance and legal fields. P… Read full bio

Dale Thompson, CPA

Assurance Partner Asset Management Practice, BDO

Dale provides assurance services to registered funds, alternative funds and broker dealers in New York. Dale has more than 21 years of experience managing multiple audit engagements covering a wide range of asset management companies including busine… Read full bio

Heather R. Zuzenak

Chief Compliance Officer, Advent International Corporation

Heather Zuzenak joined Advent International in 2013 and is the firm's Chief Compliance Officer. Heather previously worked at Audax Group as Chief Compliance Officer and fund counsel. Prior to Audax Group, she was Senior Counsel at Goodwin Procter LLP… Read full bio
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Showcase your company at the event

The Private Fund Compliance Forum San Francisco 2019 will offer a unique opportunity for organizations to raise their profile by meeting with the senior private equity finance and compliance professionals across two days of engaging panel discussions and networking opportunities.

For exclusive sponsorship packages for 2019, contact Jimmy Kurtovic at jimmy.k@peimedia.com or call +1 646-795-3273.

Pre-Event Resources

515 Mason St, San Francisco, CA 94102

JW Marriott San Francisco

BOOK YOUR ROOM TODAY 

Hotel accommodations are also available at the JW Marriott. We have arranged a special conference rate of $319.00 + tax. Rooms are limited and are on a first-come-first-served basis; early booking is strongly advised. Deadline to book is by September 11th, 2019.

CLICK HERE TO BOOK DIRECT