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:
- SEC exams
- Fee and expense allocations
- Conflicts of interest, valuations
- How to grow your firm
City of San Francisco
Chief Financial Officer and Managing Director, Operations
Featured SEC speaker
Co-Deputy Director, Office of Compliance Inspections and Examinations (OCIE)
U.S. Securities and Exchange Commission
Featured SEC speaker
Senior Specialized Examiner in the Office of Compliance Inspections and Examinations
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.
What our attendees say about the event
CFO, LLR Partners
Very well done and good mix of topics and speakers.
Director Business Development, Vistra
Good conference, lot’s of C-level exec’s. The outsourcing breakout session was excellent!
Business Development Executive, Kroll
Excellent group of participants highly engaged throughout.
Satisfy your annual CLE & CPE requirements at this year’s Forum
Up to 12 CPE & 8.5 CLE 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.
Last year's attendees
For more information on the agenda, or to propose a speaker, please contact:
Zakira Ralling at email@example.com or +1 646-545-3321
Day 1 - Thursday 3rd
Think tank breakfast (invite only): CFO Think Tank
- CFO perspectives and best practices
Think tank breakfast (invite only): CCO / GC Think Tank
- CCO and GC perspectives and best practices
Kabir Masson, Associate General Counsel & Deputy Chief Compliance Officer, GI Partners
Seth Kerker, Director Events – Americas, PEI
Keynote fireside chat featuring Melissa Dickerson, Chief Financial Officer & Managing Director, Operations, Genstar Capital
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, closing over 100 transactions (platform acquisitions & sales), and doubling 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.
Melissa Dickerson, Chief Financial Officer & Managing Director, Operations, Genstar Capital
Jane Goodman, Partner, EY
CFO roundtable: on the frontline
- 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
- 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)
Hiren Modi, Partner, EisnerAmper LLP
Joshua Cherry-Seto, Chief Financial Officer and Chief Compliance Officer, Blue Wolf Capital Partners
Andrew W. Petri, Chief Financial Officer and Chief Compliance Officer, Pfingsten Partners
Morning networking break
SEC Examination Priorities
- Fee’s and expenses
- Relationships between affiliated advisors
Jason Brown, Partner, Ropes & Gray
Michael Altschuler, Chief Administrative Officer & General Counsel, Comvest Partners
Jane Jarcho, Special Adviser, Promontory Financial Group, an IBM Company
Amelia Stoj, CCO, Director of Investor Relations and Registered In-House Counsel, Foresite Capital
Jason E. Brown
Partner, Ropes & Gray LLPRead bio
Chief Administrative Officer and General Counsel. Comvest PartnersRead bio
Special Adviser, Promontory Financial Group, an IBM CompanyRead bio
Chief Compliance Officer, Director of Investor Relations and Registered In-House Counsel, Foresite CapitalRead bio
Spotlight Discussion: All things tech
- 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
James V. Gaven, Senior Counsel and Chief Compliance Officer, Welsh, Carson, Anderson & Stowe
Casey Santos, Senior Vice President and Chief Information Officer, General Atlantic
Compliance roundtable: navigating an increasingly complicated regulatory landscape
- 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
Jamila Abston, Partner, EY
Steve Eisner, General Counsel and Chief Compliance Officer, Francisco Partners Consulting
Annette O’Donnell-Butner, Chief Compliance Officer for Public Markets, KKR
Gwen Reinke, Chief Compliance Officer, Vista Equity Partners
Heather R. Zuzenak, Chief Compliance Officer, Advent International Corporation
Partner, EYRead bio
General Counsel and Chief Compliance Officer, Francisco Partners ConsultingRead bio
Chief Compliance Officer for Public Markets, KKRRead bio
Chief Compliance Officer, Vista Equity PartnersRead bio
Heather R. Zuzenak
Chief Compliance Officer, Advent International CorporationRead bio
Track A | 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
Sarah Curran, Director, Promontory Financial Group, an IBM Company
J. Troy Beatty, General Counsel and Chief Compliance Officer, White Oak Global Advisors, LLC
Track B | New rules and regulations: The California Privacy Act
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?
Paul Schappell, CIPT, CISA, CISSP, Senior Principal Consultant, ACA Aponix
Afternoon networking break
Keynote Address | San Francisco: A Financially & Socially Responsible City
José Cisneros discusses being the Treasurer of San Francisco, a local government with a $10 billion budget, as well as managing a short term multi-billion dollar highly risk adverse portfolio. Using his experience in the tech and banking industries to enhance and modernize taxpayer systems, Treasurer Cisneros has successfully managed the City’s portfolio through a major recession. Continuing to leverage his strong background and leadership, Treasurer Cisneros believes that his role of safeguarding the City’s money extends to all San Francisco residents, and has been an advocate for the economic security and mobility of low income San Franciscans through award-winning programs like Kindergarten to College, Bank On SF and the Financial Justice Project, thus making San Francisco socially responsible.
José Cisneros, Treasurer, City of San Francisco
Chairman's closing remarks
Day 2 - Friday 4th
Chairman’s opening remarks
Dale Thompson, CPA, Assurance Partner, Asset Management Practice, BDO
Kristin Snyder, Co-Deputy Director, Office of Compliance Inspections and Examinations (OCIE), U.S. Securities and Exchange Commission
Andrew Weilbacher, Senior Specialized Examiner in the Office of Compliance Inspections and Examinations, SEC
Dale Thompson, CPA
Assurance Partner Asset Management Practice, BDORead bio
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 CommissionRead bio
Senior Specialized Examiner in the Office of Compliance Inspections and Examinations, SECRead bio
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
Edward McNicholas, Partner, Ropes & Gray
Annie Chau, Chief Administrative & Compliance Officer Angeles Equity Partners
Jennifer Ciresi, SVP & Registered In-House Counsel, Jordan Park
Kabir Masson, Associate General Counsel and Deputy Compliance Officer, GI Partners
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
Alastair Goldfisher, Venture Capital Editor, Buyouts Insider
Jessica Duran, Chief Financial Officer and Chief Compliance Officer, TSG Consumer Partners
Jennifer Naylor, CFO, Sandbox Industries
Taxation: What should PE firms expect in 2020?
• 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
Michael Behles, Partner, EY
Dan Drury, Tax Director, Makena Capital Management LLC
Chairman's closing remarks
Interested in speaking at the 2019 Forum?
Please contact Zakira Ralling at firstname.lastname@example.org or call +1 646-545-3321
Chief Administrative Officer and General Counsel. Comvest Partners
Partner, Ropes & Gray LLP
Chief Financial Officer and Chief Compliance Officer, Blue Wolf Capital Partners
Treasurer, City of San Francisco
Director, Promontory Financial Group, an IBM Company
Chief Financial Officer and Managing Director, Operations, Genstar Capital
Tax Director, Makena Capital Management LLC
Chief Financial Officer and Chief Compliance Officer, TSG Consumer Partners
General Counsel and Chief Compliance Officer, Francisco Partners Consulting
Senior Counsel and Chief Compliance Officer, Welsh, Carson, Anderson & Stowe
Special Adviser, Promontory Financial Group, an IBM Company
Associate General Counsel & Deputy Chief Compliance Officer, GI Partners
Partner, EisnerAmper LLP
Chief Compliance Officer for Public Markets, KKR
Chief Financial Officer and Chief Compliance Officer, Pfingsten Partners
Chief Compliance Officer, Vista Equity Partners
Senior Vice President and Chief Information Officer, General Atlantic
Senior Principal Consultant, ACA Aponix
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
Chief Compliance Officer, Director of Investor Relations and Registered In-House Counsel, Foresite Capital
Assurance Partner Asset Management Practice, BDO
Senior Specialized Examiner in the Office of Compliance Inspections and Examinations, SEC
Chief Compliance Officer, Advent International Corporation
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 email@example.com or call +1 646-795-3273.
The in-house counsel, chief financial officer and other executives at private equity firms are often asked to juggle compliance responsibilities in addition to their non-compliance tasks. How does your firm stack up?
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 18th, 2019.