The Private Fund Compliance Forum dissects critical, regulatory changes governing private equity, their impact on compliance processes, and provides the latest approaches for managing your firm’s compliance program.
The Forum is an established industry resource aimed to give you practical insights and takeaways from leading compliance, legal, and finance experts.
With a rich history of breaking critical information impacting our industry, private fund compliance professionals make this the must attend event of the year.
Protect your firm and investors from SEC enforcement and hear of new actions.
Benchmark your firms current compliance processes against others to give you new best practices.
Keep yourself up to date on the latest SEC regulations, expectations, and initiatives.
“One of my go-to events each year due to the timely program content and excellent panelists.”
Liz Staley, Leerink Capital Partners
“The conference was extremely valuable and I took a lot of action items applicable to our firm.”
Ashley Sherman, Frontier Growth
- Effects of the marketing rule
- Overview and evolution of the CCO role
- Managing cybersecurity threats
- Navigating fees and expenses
- Uncovering SEC exam priorities
- ESG and climate related regulations
- Business continuity planning
- Managing technology and external providers from a compliance standpoint
2022 attendees included:
What our attendees say about the Forum
This is the most informative of the conferences I do every year
Kohlberg & Co.
Enjoyed the SEC perspective and perspective of real CCOs from peers
Excellent event, with all topics being highly relevant
Day 1 - Tuesday 23rd
Registration & continental breakfast
PEI & chair’s welcome
Gregory Hegerich, Head of Compliance, North America Private Investments & Real Estate, Bain Capital
Evolution and expectations of the CCO
- Navigating an increasing workload brought on by increased regulatory concerns
- Ensuring CCOs have a seat at the leadership table
- Identifying resources to complete tasks
- Are multifunctional CCOs here to stay?
- The face of compliance: uncovering liability of the CCO
- Looking ahead: what’s on the horizon for CCO responsibilities?
Kelly Pettit, Managing Director, Chief Compliance Officer, Associate General Counsel, General Atlantic
Carolyn Drayer-Greenwalt, Chief Compliance Officer, Patient Square Capital
Arthur Price, Managing Director, Chief Compliance Officer and Assistant General Counsel, Thomas H. Lee Partners
David Smolen, Managing Director, General Counsel & Chief Compliance Officer, GI Partners
Chief Compliance Office and Associate General Counsel, General AtlanticRead bio
Chief Compliance Officer, Patient Square CapitalRead bio
Managing Director, Chief Compliance Officer and Assistant General Counsel, Thomas H. Lee Partners, L.P.Read bio
Managing Director, General Counsel & Chief Compliance Officer, GI PartnersRead bio
How are CCOs grasping technology as firms face regulatory demands?
- Enlisting third party support to navigate regulatory tasks
- How are firms utilizing captured data to improve compliance programs?
- Creating standardization across managing compliance efforts across the firm through technology
- Using technology tools to scale and grow compliance efforts
- Programs available to organize compliance responsibilities
Sarah Conde, General Counsel, Managing Director & Chief Compliance Officer, Providence Equity Partners
Austin Ericson, Legal Counsel and Chief Compliance Officer, Star Mountain Capital
Christy Lukach, Chief Compliance Officer and Managing Director, Finance, Brightstar Capital Partners
Networking coffee break
Staying abreast of cyber risks to protect the firm
- Working alongside internal and external cyber partners to remain compliant
- Interpreting recent regulatory risk alerts and SEC priorities for safeguarding the firm and its investors
- Surveilling 3rd party app and vendors/communication to ensure they are compliant with firm’s policies and procedures
- Coordinating with IT and cyber teams to ensure substantial protections are in place
- Conducting cyber due diligence on external parties (vendors, software)
- Addressing security concerns associated with internal and external communication (use of personal devices, instant/text messaging platforms, video communications, etc.)
Eric DiFiore, Chief Compliance Officer, TZP Group
Ellen Rosenberg, Partner, General Counsel & Chief Compliance Officer, GreyLion Capital
Iris Rosken, Chief Compliance Officer and Director of Special Projects, Atlantic Street Capital
Avoiding surprises: uncovering SEC exam priorities and processes for 2023
- Expectations from start to finish of the exam process – any new actions from the current Commission on private fund advisers?
- What items are being referred to enforcement?
- Will the SEC still write rules based on exam findings?
- Conducting SEC exams post-pandemic
- The correlation between risk alerts and exam priorities
Jason Brown, Partner, Ropes & Gray
James Kerr, Chief Compliance Officer, Chief Risk Officer, and Senior Counsel, Bow River Capital
Steven Spencer, Partner and Chief Legal Officer, Siris Capital
Track A - The institutionalization of ESG
The institutionalization of ESG
- Ensuring firms have the proper documentation in place to showcase their ESG efforts
- Items to include in LP reporting
- What to do when firms are not an impact or ESG fund but have developed ESG policies?
- The potential impact of the SEC’s focus on ESG
- Creating ESG committees or advisory boards
- Designing policies and procedures unique to ESG efforts
- Ensuring policies and procedures adhere to various geographical regions
Sarah Curran, Director of Enterprise Risk and CCO, Private Investments, Wellington Management Company
Jennifer Lin, Chief Compliance Officer, Fundamental Advisors
Track B - Developing internal and external compliant communication practices
- Monitoring work approved communication platforms across all geographies
- What apps and platforms are deemed safe for conveying sensitive information?
- Safely retaining internal and external communication
- SEC prep: How are firms documenting communication violations?
- Sign of the times: Do current Commission rules on communication practices and record keeping align with the reality of today’s workplace?
Laura Ferrell, Partner, Latham & Watkins LLP
Samantha Katz, General Counsel & Chief Compliance Officer,
Jeff Kropp, Chief Compliance Officer & Assistant General
Counsel, Levine Leichtman Capital Partners
James Pickel, General Counsel & Chief Compliance Officer,
Think tank A (GPs only) Developing a mighty compliance program to withstand demand in an evolving industry
- Instilling and maintaining an internal “culture of compliance”
- Reviewing compliance policies and procedures to ensure the firm is up to date
- CCO involvement in portfolio company compliance
- Employee compliance training – breaking it down into smaller sections or hosting one large annual training?
- The involvement of compliance into daily decision making
- Deciding to invest resources to expand compliance teams to navigate workload (in-house or external)
Alicia Novak, Senior Vice President, Deputy Chief Compliance
Officer, HarbourVest Partners
Think tank B (SPs only) Proposal breakdown: navigating and preparing clients for SEC rules on the horizon
- How is the current pace of proposed rulemaking changing the industry?
- Methods for educating clients on steps to take when complying to new rules
- What can your organizations do now to get ahead of preparing clients for rule implementations?
- Will proposed outsourcing rule change vendor/client relationships?
Networking coffee break
Cocktail reception and end of day one
Day 2 - Wednesday 24th
Kirkland and Ellis’s Women’s Networking Roundtable
CCOs Think tank (GPs only)
Designed to facilitate candid discussion, this closed-door session for CCOs targets the issues and challenges impacting your firm. Attendees can benchmark ideas and share best practices to help you gain solutions for common concerns facing your office.
Patty Nykodym, Chief Financial Officer & Chief Compliance Officer, FFL Partners
Usman Shakeel, General Counsel and Chief Compliance Officer, Wind Point Partners
Chairman’s opening remarks
Jacob Comer, General Counsel and CCO, NovaQuest Capital
Lessons learned: effects of the Marketing Rule implementation
- Checking to see if your policies and procedures match up with the new standards
- Working alongside IR and deal teams to accurately present the firm
- Avoiding early deficiencies in Marketing rule driven SEC exams
- Methods of tracking and managing advertising records
- How are firms showcasing and calculating net performance?
Joel Wattenbarger, Partner, Ropes & Gray
Renata Malavazzi, General Counsel and Chief Compliance Officer, Paine Schwartz Partners
Andrew Prodromos, Deputy General Counsel and Chief Compliance Officer, Insight Partners
Michelle Vaughn, Chief Compliance Officer, LLR Partners
Overseeing risk sensitivity in private markets
- Identifying avoiding, and mitigating conflicts of interest
- How are firms preventing the misuse of MNPI?
- The CCO responsibility in portfolio company risks
- Ensuring the firm has a grasp on protecting data and sensitive information
- Taking a proactive role in non-regulatory related risks
Drew Weilbacher, Chief Compliance Officer, TSG Consumer
Know your customer – understanding what LPs want in firm compliance
- Key attributes of a standout compliance program
- The standardization for reporting
- Navigating due diligence questionnaires and requests
- How to ensure trust and transparency between GPs and LPs?
- What do LPs wish for private fund advisers to share? (i.e., deficiency letters, examinations, audits, etc.)
- Fundraising etiquette: approaching LP communication during the investment process
Sara Robinson Dasse, Partner & Chief Compliance Officer, Adams Street Partners
Bruce Karpati, Partner, Global Chief Compliance Officer, KKR
David Stern, Managing Director, Chief Information Security Officer, KKR
Luncheon and end of conference
Chief Operating Officer, GC and CCO, ACON Investments, L.L.C.
General Counsel and CCO, NovaQuest Capital
General Counsel, Managing Director & Chief Compliance Officer, Providence Equity Partners
Director of Enterprise Risk and CCO, Private Investments, Wellington Management Company
Chief Compliance Officer, TZP Group
Chief Compliance Officer, Patient Square Capital
Legal Counsel and Chief Compliance Officer, Star Mountain Capital (New York & Tampa)
Partner, Latham & Watkins LLP
Partner, General Counsel, Leonard Green & Partners
Head of Compliance, North America Private Investments & Real Estate, Bain Capital
Partner & Global Chief Compliance Officer, KKR
General Counsel & Chief Compliance Officer, Argand Partners
General Counsel & Chief Compliance Officer, Bow River Capital
Chief Compliance Officer & Assistant General Counsel, Levine Leichtman Capital Partners
Chief Compliance Officer, Fundamental Advisors
General Counsel and Chief Compliance Officer, Paine Schwartz Partners
General Counsel, Parthenon Capital Partners
Chief Compliance Officer, StepStone Group
General Counsel & Chief Compliance Officer, Ethos Capital
Senior Vice President, Deputy Chief Compliance Officer, HarbourVest Partners
Chief Financial Officer & Chief Compliance Officer, FFL Partners
Chief Compliance Office and Associate General Counsel, General Atlantic
General Counsel & CCO, Lindsay Goldberg
Managing Director, Chief Compliance Officer and Assistant General Counsel, Thomas H. Lee Partners, L.P.
Deputy General Counsel and Chief Compliance Officer, Insight Partners
Partner & Chief Compliance Officer, Adams Street Partners
Managing Director, General Counsel & Chief Compliance Officer, GI Partners
Partner and Chief Legal Officer, Siris Capital
Managing Director, Chief Information Security Officer, KKR
Partner, Ropes & Gray LLP
Chief Compliance Officer, TSG Consumer
The Private Fund Compliance Forum offers a unique opportunity for providers to engage and connect with senior compliance professionals in the private equity sector through thought leadership, networking, and more.
For exclusive sponsorship packages for 2023, contact Josh Stoller at email@example.com or call +1 646 970 3923.