The Forum returns to New York this spring

Back live and in-person

 

Evolving responsibilities and emerging regulations pose unique challenges for today’s CCOs. The Private Fund Compliance Forum dissects critical changes in the regulations governing private equity, the impact on compliance processes and provides the latest approaches for managing the firm’s compliance program.

The Forum is an established industry resource for compliance professionals to gain practical insights and best practices from leading compliance experts. With a rich history of breaking critical industry information, notably the Spreading Sunshine in Private Equity speech, private fund compliance professionals make this the one event they must attend annually.

In its twelfth year, the Private Fund Compliance Forum remains an essential resource for Chief Compliance Officers and General Counsels to convene for access to crucial regulatory and compliance program updates.

Hear directly from the SEC

Why you should attend

Earn CLE & CPE credits

New for last year, CLE credits were 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 offered compliance professionals the opportunity to exchange ideas, benchmark strategies and learn how to handle current trends impacting the industry.

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.

2021 Agenda

Interested in speaking at the Forum in 2022? Please contact Erin Wolfe at Erin.Wolfe@peimedia.com.

*Please Note: All session times listed are in Eastern Time (EDT)

Day 1 Day 2
View agenda page

Agenda

Day 1 - Tuesday 9th

Plenary session
09:30 - 10:05

Women’s Networking Roundtable

Marian Fowler

Panelists:
Marian Fowler, Partner, Investment Funds Regulatory Solutions Group, Kirkland & Ellis

A speaker photo for Marian Fowler

Marian Fowler

Partner, Investment Funds Group (Regulatory), Kirkland & Ellis

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10:05 - 10:10

PEI Welcome

Erin Wolfe

Erin Wolfe, Senior Conference Producer, PEI

A speaker photo for Erin Wolfe

Erin Wolfe

Senior Conference Producer, PEI Media

Read bio
10:10 - 11:00

SEC’s Opening Keynote Interview

Jennifer Conwell, Jennifer Duggins

Panelists:
Jennifer Conwell, Senior Member, Private Funds Unit, Securities and Exchange Commission
Jennifer Duggins, Assistant Director – Co-Head Private Funds Unit, U.S. Securities and Exchange Commission

Jennifer Conwell headshot

Jennifer Conwell

Senior Member, Private Funds Unit, U.S. Securities and Exchange Commission

Read bio
Jennifer Duggins SEC

Jennifer Duggins

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

Read bio
11:00 - 11:50

The SEC’s Climate and ESG Task Force: Preparing for Increased Scrutiny

Jason Brown, Eugenie M. Cesar-Fabian, Bruce Karpati, Andrew Prodromos, Jordan Stutts
  • What are the most common compliance issues relating to funds’ ESG strategies?
  • How to monitor ESG compliance
  • Avoiding material gaps or misstatements in disclosures of climate risks

Panelists:
Jason Brown, Partner, Ropes & Gray
Eugenie
M. Cesar-Fabian, Partner, Head of ESG & Sustainability, Palladium Equity Partners, LLC
Bruce Karpati, Global Chief Compliance Officer and Counsel, KKR
Andrew
Prodromos, Deputy General Counsel and Chief Compliance Officer, Insight Partners

Moderator:
Jordan Stutts, Senior Reporter, New Private Markets

 

 

A speaker photo for Jason  Brown

Jason Brown

Partner, Ropes & Gray

Read bio
A speaker photo for Eugenie M.  Cesar-Fabian

Eugenie M. Cesar-Fabian

Partner, Head of ESG & Sustainability, Palladium Equity Partners, LLC

Read bio
A speaker photo for Bruce Karpati

Bruce Karpati

Partner, Global Chief Compliance Officer & Counsel, KKR

Read bio
A speaker photo for Andrew Prodromos

Andrew Prodromos

Deputy General Counsel and Chief Compliance Officer, Insight Partners

Read bio
A speaker photo for Jordan Stutts

Jordan Stutts

Senior Reporter, New Private Markets

Read bio
11:50 - 12:30

Private Fund Compliance Data Privacy & Governance

Kelly Pettit, Joel Wattenbarger
  • Types of risks facing private equity fund managers in terms of their data privacy and cyber security
  • Risks in terms of how data are shared and used
  • Protecting high quality data throughout the lifecycle of that data
  • Complying with privacy and security regulations
  • Cybersecurity concerns
    • Ransomware attacks

Interviewee:
Kelly Pettit,
Chief Compliance Officer and Associate General Counsel, General Atlantic

Interviewer:
Joel Wattenbarger, Partner, Ropes & Gray

A speaker photo for Kelly Pettit

Kelly Pettit

Chief Compliance Office and Associate General Counsel, General Atlantic

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A speaker photo for Joel  Wattenbarger

Joel Wattenbarger

Partner, Ropes & Gray

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12:30 - 13:20

High Risk Area: The Handling of Material Non-Public Information

Doug Chiciak, Scott Mathias, Patty Nykodym, Steven Spencer, Norm Champ
  • How to put together comprehensive and actionable policies for managing MNPI
  • How do you continuously monitor for MNPI misuse
  • What was learned from the big 2020 MNPI cases

Panelists:
Doug Chiciak, Chief Compliance Officer, Lightyear Capital
Scott Mathias, Co-Chief Compliance Officer of Real Estate, Blackstone
Patty Nykodym, Chief Financial Officer/Chief Compliance Officer, FFL Partners
Steven Spencer, Partner & General Counsel, Siris Capital

Moderator:
Norm Champ, Partner, Kirkland & Ellis

 

A speaker photo for Doug Chiciak

Doug Chiciak

Chief Compliance Officer, Lightyear Capital

Read bio
A speaker photo for Scott Mathias

Scott Mathias

Co-Chief Compliance Officer of Real Estate, Blackstone

Read bio
A speaker photo for Patty Nykodym

Patty Nykodym

Chief Financial Officer and Chief Compliance Officer, FFL Partners

Read bio
A speaker photo for Steven  Spencer

Steven Spencer

Partner and Chief Legal Officer, Siris Capital

Read bio
A speaker photo for Norm Champ

Norm Champ

Partner, Kirkland & Ellis

Read bio
13:20 - 14:20

Networking & Lunch Break

14:20 - 15:10

Private Equity Social Media: Dos and Don'ts

Jennifer Boyce, Laura Ferrell, Alicia Novak, Kelly Riera, Samantha Rowan
  • Benefit of social media for private equity funds
  • What are the compliance risks posed by social media?
  • How has the new marketing rule of 2020 changed things?
  • How to develop and implement policies to manage internal and external social media processes

Panelists:
Jennifer Boyce, General Counsel and CCO, Riverside Company
Laura Ferrell, Partner, Latham Watkins
Alicia Novak, Deputy Chief Compliance Officer, HarbourVest Partners
Kelly Riera, Chief Compliance Officer, TA Associates

Moderator:
Samantha Rowan,
Editor, Real Estate Capital USA, PEI Media

A speaker photo for Jennifer Boyce

Jennifer Boyce

General Counsel and CCO, Riverside Company

Read bio
A speaker photo for Laura Ferrell

Laura Ferrell

Partner, Latham Watkins

Read bio
A speaker photo for Alicia Novak

Alicia Novak

Vice President, Deputy Chief Compliance Officer, HarbourVest Partners

Read bio
A speaker photo for Kelly Riera

Kelly Riera

Chief Compliance Officer, TA Associates

Read bio
A speaker photo for Samantha Rowan

Samantha Rowan

Editor, PEI Media

Read bio
15:10 - 16:00

Regulatory & Compliance Considerations During Fundraising

Gregory Hegerich, Ross Oliver, Sanjay Sanghoee, Jason Scoffield, Meaghan A. Kelly
  • What information are limited partners increasingly asking regarding fund compliance program during fundraising
  • Compliance considerations regarding
    • claims made during private equity fund raising
    • your investment strategy and fee structures

Panelists:
Gregory Hegerich,
Head of Compliance, North America Private Investments & Real Estate, Corporate, Bain Capital
Ross Oliver, Partner & General Counsel, Crestview Partners
Sanjay
Sanghoee, COO, CFO and CCO, Delos Capital
Jason Scoffield, Chief Compliance Officer, Audax Management Company

Moderator:
Meaghan Kelly,
Partner, Simpson Thacher & Bartlett



A speaker photo for Gregory Hegerich

Gregory Hegerich

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

Read bio
A speaker photo for Ross Oliver

Ross Oliver

Partner & General Counsel, Crestview

Read bio
A speaker photo for Sanjay Sanghoee

Sanjay Sanghoee

CCO, CFO, and CCO, Delos Capital

Read bio
A speaker photo for Jason  Scoffield

Jason Scoffield

Chief Financial Officer and Fund Counsel, Audax Management Company

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A speaker photo for Meaghan A.  Kelly

Meaghan A. Kelly

Partner, Simpson Thacher and Bartlett LLC

Read bio
16:00 - 16:00

Close of Day 1

Agenda

Day 2 - Wednesday 10th

Think Tank Session
09:15 - 10:00

Think Tank Session

Gregory Hegerich

Exclusive closed-door session for private fund compliance managers to meet with peers in the industry to discuss the most pressing challenges having an impact on their role and responsibilities.

Facilitator:
Gregory Hegerich, Head of Compliance, North America Private Investments & Real Estate, Corporate, Bain Capital

 

A speaker photo for Gregory Hegerich

Gregory Hegerich

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

Read bio
Plenary session
10:00 - 10:40

Opening Keynote Panel/Interview - Institutional Investors: The LP Perspective

Katherine Hill Ritchie, Lawrence Aragon
  • Investment firm’s due diligence of investment managers
  • Building and maintaining strong relationships between LP & GPs
  • LP expectations on DEI & ESG policies
  • Expectations re RFIs

Interviewee:
Katherine Hill Ritchie, Director of Strategic Development, Nottingham Spirk Family Office

Interviewer:
Lawrence Aragon,
West Coast Bureau Chief, PEI Alternative Insight

A speaker photo for Katherine  Hill Ritchie

Katherine Hill Ritchie

Director of Strategic Development and Board Member, Nottingham Spirk Family Office

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Lawrence Aragon, PEI

Lawrence Aragon

West Coast Bureau Chief, PEI Alternative Insight

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10:40 - 11:10

Networking Break

11:10 - 11:50

Ensuring a Smooth LIBOR Transition

Abram Ellis, Hugh Kennedy

The impacts on the LIBOR transition on multiple areas including:

  • reviewing loan agreements and other debt instruments
  • updates to disclosure documents
  • marketing materials
  • contracts
  • service provider agreements

Interviewee:
Abram Ellis, Partner, Simpson Thacher & Bartlett

Interviewer:
Hugh Kennedy, Group Publisher, PEI Media

A speaker photo for Abram  Ellis

Abram Ellis

Partner, Simpson Thacher & Bartlett

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A speaker photo for Hugh Kennedy

Hugh Kennedy

Group Publisher, PEI Media

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11:50 - 12:30

Setting the Tone and Creating a Culture of Compliance

Julie Bender, Joshua Gilbert, Kara Goodloe Harling, Paul Marnoto, Carl Ayers
  • What are some of the biggest compliance issues that firms struggle with?
  • How can firms prepare for operating in a more heavily regulated environment
  • What are some ways to effectively handle the reporting requirements at an emerging firm?

Panelists:
Julie Bender, Vice President, Chief Financial Officer and Chief Compliance Officer, Frontenac Company
Joshua Gilbert, Chief Financial Officer,Freestyle Capital
Kara Goodloe Harling, CCO, Senior Managing Director and Chief Compliance Officer, Mountain Capital
Paul Marnoto, General Counsel, Parthenon Capital Partners

Moderator:
Carl Ayers, Publisher, Regulatory and Compliance Watch

 

 

A speaker photo for Julie Bender

Julie Bender

Vice President, Chief Financial Officer and Chief Compliance Officer, Frontenac Company

Read bio
A speaker photo for Joshua Gilbert

Joshua Gilbert

Chief Financial Officer, Freestyle Capital

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A speaker photo for Kara	 Goodloe Harling

Kara Goodloe Harling

Senior Managing Director and Chief Compliance Officer, Mountain Capital Management, LLC

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A speaker photo for Paul Marnoto

Paul Marnoto

General Counsel, Parthenon Capital Partners

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A speaker photo for Carl Ayers

Carl Ayers

Publisher, Regulatory Compliance Watch

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12:30 - 12:30

Close Day 2

2022 speakers

We are currently confirming the compliance experts from top private equity firms who will be speaking at the Forum. Interested in speaking at the 2022 Forum? Contact Erin Wolfe at Erin.Wolfe@peimedia.com.

Jennifer Boyce

General Counsel and CCO, Riverside Company

Jennifer Boyce is the General Counsel & Chief Compliance Officer. She joined Riverside in 2012 and oversees Riverside’s legal and regulatory matters. Prior to joining the firm, Ms. Boyce was a partner at Jones Day in the Private Equity group. Ms.… Read full bio

Molly Campbell

Chief Compliance Officer, Resource Capital Funds

Molly Campbell joined Resource Capital Funds as their Chief Compliance Officer in 2012. She oversees the firm’s domestic and international regulatory compliance program. Molly joined Resource Capital Funds from Independence Capital Asset Partners, LL… Read full bio

Eugenie M. Cesar-Fabian

Partner, Head of ESG & Sustainability, Palladium Equity Partners, LLC

Ms. Cesar-Fabian joined Palladium in 2011. She serves as Head of ESG & Sustainability and is a Partner of the Firm. Previously, Ms. Cesar-Fabian served as Palladium’s first General Counsel and Chief Compliance Officer. Prior to that, she served a… Read full bio
Joshua Cherry-Seto, Blue Wolf Capital

Joshua Cherry-Seto

Managing Director, CFO & CCO, Blue Wolf Capital Partners

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

Jacob Comer

General Counsel and CCO, NQ Capital

Jacob Comer is a Partner and the General Counsel and Chief Compliance Officer of NovaQuest Capital Management, a private investment firm focused on investments in the biopharmaceutical, life sciences, and healthcare areas. He has 18 years of legal an… Read full bio
Jennifer Conwell headshot

Jennifer Conwell

Senior Member, Private Funds Unit, U.S. Securities and Exchange Commission

Jennifer Conwell has been with the SEC for the past 21 years. Since 2019, Jennifer is an Exam Manager in the Private Funds Unit within the SEC’s Division of Examinations. Prior to becoming an Exam Manager, Jennifer was an Examiner in the Private Fund… Read full bio
Jennifer Duggins SEC

Jennifer Duggins

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

Jennifer A. Duggins, IACCP® is Assistant Director and Co-Head of the Private Funds Unit within the SEC’s Office of Compliance Inspections and Examinations. Prior to joining the SEC, Jennifer was a Director in Regulatory Risk Consulting within the Adv… Read full bio

Adam Felsenthal

General Counsel, Deputy Chief Compliance Officer, Great Point Partners

Mr. Felsenthal is the General Counsel and Deputy CCO at Great Point Partners. Prior to Great Point, he worked at Irving Place Capital, Davis Polk & Wardwell, and Paul, Weiss, Rifkind, Wharton & Garrison. Mr. Felsenthal also serves as the Secr… Read full bio

Gregory Hegerich

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

Mr. Hegerich joined Bain Capital in 2007. He is the head of compliance for North American Private Investments and Real Estate responsible for providing business unit compliance support to Bain Capital’s registered investment advisors. Prior to joinin… Read full bio

Paul Marnoto

General Counsel, Parthenon Capital Partners

Paul Marnoto is the General Counsel for Parthenon Capital. Prior to joining Parthenon, he was a partner in the Investment Management Group of K&L Gates LLP, where he represented sponsors of middle market buyout, venture capital and hedge funds on… Read full bio

Scott Mathias

Co-Chief Compliance Officer of Real Estate, Blackstone

Scott Mathias is a Senior Vice President and Co-Chief Compliance Officer of Blackstone Real Estate. Mr. Mathias serves as a Co-Chair of the Blackstone Legal & Compliance Development & Collaboration Committee. Prior to joining Blackstone in 20… Read full bio

John McGuinness

Chief Compliance Officer, 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

Patty Nykodym

Chief Financial Officer and Chief Compliance Officer, FFL Partners

Patty Nykodym joined FFL as Chief Financial Officer in 2008. Patty manages all aspects of FFL’s accounting, tax, financial management, and reporting. She also serves as Chief Compliance Officer overseeing legal and regulatory compliance functions for… Read full bio

Ross Oliver

Partner & General Counsel, Crestview

Ross Oliver joined Crestview in 2011. Ross is a partner of the firm and the general counsel. He leads all legal and compliance functions. Ross has over 20 years of experience in private equity, mergers and acquisitions and tax as both an attorney and… Read full bio

Kevin Power

Head of Compliance, Americas, Pantheon Ventures

Kevin is the Head of Compliance (Americas) for Pantheon, including serving as Chief Compliance Officer for Pantheon Ventures (US) LP, Pantheon Ventures, Inc., and Pantheon Securities, LLC. He is also a member of Pantheon’s Operational Risk Committee.… Read full bio

Candice Richards

Managing Director, Head of ESG and Compliance Officer, MidOcean Partners

Candice Richards joined MidOcean Partners as a Compliance Officer in 2013. Previously, Mrs. Richards was a Compliance Officer at Gresham Investment Management LLC, a financial investment advisory firm. Prior to this, Mrs. Richards was a Compliance As… Read full bio

Sanjay Sanghoee

CCO, CFO, and CCO, Delos Capital

Sanjay Sanghoee is COO, CFO and CCO of Delos Capital, a lower middle market private equity fund launched in 2013 and based in New York City. Mr. Sanghoee has more than 15 years of experience in investment banking and private equity. He is responsible… Read full bio

Jason Scoffield

Chief Financial Officer and Fund Counsel, Audax Management Company

Jason Scoffield is Chief Compliance Officer and Fund Counsel for Audax Group. Prior to joining Audax in 2015, Jason worked at Morgan, Lewis & Bockius LLP and Bingham McCutchen LLP as Counsel and at Proskauer Rose LLP., as an Associate, where he a… Read full bio

Steven Spencer

Partner and Chief Legal Officer, Siris Capital

Mr. 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. Prev… Read full bio

2022 sponsors

PEI’s 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 2022, contact Cristiana Crocco at cristiana.c@peimedia.com or call +1 646 921 0923.