CFO
Network
Private Fund Compliance Regulatory Forum
June 9-10, 2026
Convene Hamilton Square Washington, DC
Compliance Clarity Amid Fragmented Regulatory Change
The Private Fund Compliance Regulatory Forum will explore the state of the compliance landscape and how to stay ahead of fast-changing regulations under the Trump administration.
With a rich 10+ year history of breaking critical information impacting our industry, the Forum is the must-attend event for private fund compliance leaders.
2025 keynotes
Last year, the U.S. Securities and Exchange Commission’s Leadership explored the regulatory developments of 2025, including:
- SEC examination priorities
- Strategies for avoiding common private fund violations
- Reducing the likelihood of triggering an enforcement referral
“The best part is hearing from SEC staff on the very granular matters that impact our day to day.”
Daniel Gewanter, Kohlberg & Co
“One of my go-to events each year due to the timely program content and excellent panelists.”
Liz Staley, Leerink Capital Partners
2025 featured speakers
Who attends the Regulatory Forum?
Compliance leaders
Gain practical guidance on shifting SEC priorities, enforcement expectations, and proven approaches for strengthening private fund compliance programs.
In-house General Counsel
Stay ahead of regulatory developments, assess evolving legal risk, and ensure firm governance and oversight align with regulatory expectations.
Multi-hatted finance & operations leaders
Understand how regulatory changes impact operational and financial workflows, enhance firm-wide risk management, and support compliant growth.
What our attendees find most valuable
Sun Capital Partners
Alexandra Maisel
Great networking opportunities, interesting topics, and fabulous guest speakers.
Kohlberg & Co.
Daniel Gewanter
Enjoyed the SEC perspective and perspective of real CCOs from peers
Omega Funds
Mark Russell
Excellent event, with all topics being highly relevant
Keeping you on top of what’s to come
Through engaging panels, interactive think tanks and keynote discussions, the event covered:
- What to look out for in SEC exams
- Recent SEC enforcement actions
- How firms adapted to new AML requirements
- How to navigate a Trump-era revamp of HSR rule
- The political, economic, and regulatory challenges ahead
Contact Kellie Green at kellie.g@pei.group to discuss speaking opportunities.
Agenda
Day 1 - Tuesday 9th
Registration – continental breakfast
Sponsored VIP Breakfast
Chair’s opening remarks
Kelly H. Riera, Chief Compliance Officer, TA Associates
Keynote Interview: Brian Daly, Director of the Division of Investment Management, U.S. Securities and Exchange Commission
Gain an insider’s perspective with Brian Daly, Director, Division of Investment Management, U.S. Securities and Exchange Commission, as he outlines the SEC’s 2026 priorities — including areas of regulatory focus, reporting expectations, and emerging compliance trends — and offers practical guidance for strengthening governance and risk frameworks.
Plenary – 2026 Regulatory Hotspots for Private Funds: Liquidity, Leverage, Valuation, and Fee Oversight
- Examining stressed liquidity scenarios, redemption pressures, and regulatory expectations for appropriate leverage practices.
- Ensuring fair and defensible valuations of illiquid and complex assets, with robust oversight and documentation to satisfy examiners.
- Maintaining consistent, transparent controls and reporting for management fees, carried interest, reimbursable expenses, and side letter obligation.
Networking coffee break
Track A - Shaping the Future of Retirement: 401(k) Investment Expansion Through a Compliance Lens
- How alternative investments, private market funds, and non-traditional strategies are being introduced in 401(k) plans—and what compliance teams need to monitor.
- Understanding 2026 updates to contribution limits, Roth catch-up requirements, and their impact on plan design, recordkeeping, and reporting.
- Ensuring proper due diligence, governance, and documentation to meet ERISA fiduciary standards while mitigating compliance risk.
Track B - Multi State Regulatory Oversight in 2026: Managing a Fragmented Compliance Landscape
- New and strengthened state laws coming into effect in 2026, including heightened disclosure, registration, and approval obligations in key markets such as California, New York, and Texas.
- Addressing practical challenges in 2026 for funds operating across states, including updated filing requirements, transaction review processes, and varying enforcement priorities.
- Developing policies, monitoring programs, and escalation paths in 2026 that align with federal regulations while meeting diverse state expectations, helping reduce governance risk and prepare for exams.
Track A - The Updated Names Rule in 2026: Aligning Fund Names, Disclosures, and Controls
- How CCOs and GCs can implement controls to ensure fund names accurately reflect portfolio holdings and strategies, maintain the 80% standard, and mitigate regulatory risk.
- Best practices for prospectuses, marketing materials, and client reporting to avoid misleading statements and satisfy SEC expectations.
- Designing workflows, recordkeeping, and monitoring programs to document adherence, identify deficiencies, and support board and investor oversight.
Track B - Global Oversight in 2026: Cross Border Regulatory Challenges for Private Fund Compliance Leaders
- How to navigate the new cross‑border reporting regimes and joint supervisory mechanisms that are emerging
- Understanding the updated AIFMD 2.0 requirements, depositary obligations and passport rules that impact fund marketing, investor access, and reporting across EU member states.
- Coordinating cross-border due diligence, monitoring, and reporting frameworks to meet AML/KYC obligations while mitigating cybersecurity, valuation, and fiduciary risks across jurisdictions.
Networking luncheon
AI in the Compliance Spotlight: Regulatory Guidance for AI-Driven Compliance Workflows
- How AI is reshaping surveillance, monitoring, investigations, and reporting, and where firms are most exposed.
- How to integrate AI into compliance workflows without introducing new regulatory or model risk.
- Guardrails for model risk management, data integrity, bias mitigation, and escalation protocols.
Gaurav Aggarwal, Senior Director – Infrastructure & Support, Veritas Capital
Mark Happe, Chief Compliance Officer & Managing Director, MAI Capital Management
Networking coffee break
Track A - Form PF’s Third Extension: Regulatory Expectations and the First Real Compliance Test
- Implementing and testing internal systems, project plans, and data governance frameworks to meet evolving Form PF requirements and avoid reporting errors.
- Strengthening oversight, monitoring, and escalation processes in 2026 to ensure defensible compliance ahead of the first enforcement cycle.
- Using 2026 as a pivotal year to stress-test reporting frameworks and workflows in anticipation of the 2027 submission cycle, identifying gaps and mitigating risk proactively.
Track B - Fiduciary & Operational Risk: Regulatory Priorities for Private Fund General Counsels
- How top GCs are partnering with the CCO, CEO, CIO, and CFO to guide growth, resolve conflicts, and navigate gray areas before they become exam issues.
- Leading the legal strategy behind launches, amendments, and closings while balancing speed to market with regulatory defensibility.
- How GCs are managing exposure across vendors, fund administrators, cybersecurity, data privacy, and business continuity—and what regulators now expect to see.
Ellen Rosenberg, Partner, General Counsel & Chief Compliance Officer, GreyLion Partners
AML & KYC in 2026: What’s Changing, What’s Coming, and What It Means
- Understanding the implications of FinCEN’s 2026 review of AML/KYC rules, including potential changes to reporting thresholds, enhanced scrutiny of private fund advisers, and expectations around beneficial ownership documentation.
- Implementing digital identity frameworks, continuous KYC monitoring, and enhanced transparency around beneficial ownership to meet evolving regulatory expectations and reduce operational risk.
- Using advanced AI and machine learning to detect complex money laundering and fraud patterns, minimize false positives, enable real-time monitoring, and support audit-ready reporting for exams.
Cocktail reception and end of day one
Agenda
Day 2 - Wednesday 10th
Breakfast
Webinar Part II: Pre- Conference Workshop (continuation from the webinar)
CCOs Think Tank (GP only) (Invite Only)
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
Senior Compliance Professionals (GPs only)
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
General Councils (GP only)(Invite Only)
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
Chair’s opening remarks
Keynote Fireside Chat: SEC exams: proactive preparation
Keynote Fireside Chat – SEC enforcement: insights from the front line
Networking break
Panel & Workshop A - Surviving the SEC Exam: A Playbook for Private Fund CCOs
- What examiners are focusing on now—from conflicts of interest, marketing materials, and fee disclosures to cybersecurity, AML/KYC, and data governance.
- Managing complex products, ensuring defensible valuations, and monitoring liquidity to meet regulatory expectations.
- Designing oversight frameworks to track fees, allocations, and operational risks across funds and co-investment vehicles.
Panel & Workshop B - Exam-Proofing Your Firm: What PE General Counsels Need to Get Right
- How to ensure your compliance framework, disclosures, and internal controls hold up under SEC scrutiny.
- Board reporting, escalation protocols, and demonstrating active supervision across the organization.
- Where exams are focusing now—from conflicts and valuation to marketing practices, cybersecurity, and data privacy
Renata Malavazzi, General Counsel and Chief Compliance Officer, Paine Schwartz Partners
Luncheon and end of conference
Pre-Event Resources
Lead the discussion in 2026
Have a topic you would like to discuss at this year’s forum? Contact Kellie Green at kellie.g@pei.group to discuss speaking opportunities.
Connect and engage with a community of private markets CCOs and COOs
The Private Fund Compliance Regulatory Forum allows providers to connect with senior compliance professionals in private equity through thought leadership and meaningful networking.
By sponsoring or partnering with the Private Funds CFO Network, you can engage year-round with key decision-makers across 30+ meetings and flagship events.
For exclusive sponsorship packages for 2026, contact Josh Stoller at joshua.s@pei.group or call +1 646 970 3923.
2025 Sponsors
Venue
Convene Hamilton Square Washington, DC
600 14th St NW, Washington, DC 20005
Here is a list of hotel accommodations for easy access to the event.
Make essential connections
Be a part of the largest gathering of compliance leaders in the industry. Over two days you’ll build up your book of contacts while discussing solutions to shared challenges with this expansive community.
2025 attendees:
Conversations that inspire collaboration
Breakfast meetings and think tanks
Cover critical issues and exchange solutions on curated topics with your peers at our breakfast meetings and GP-only think tanks.
Networking breaks
Catch up with your peers to build your network and discuss session takeaways during the many designated networking breaks.
Workshops
More hands-on than a traditional panel, our workshops start with a 25 minute discussion followed by a 40 minute peer-to-peer workshop.
Participants at a glance
“Event was a great opportunity to hear from three important constituents: SEC staff, industry advisors, and peers in the trenches who deal with the same challenges I deal with.
“
Daniel Gewanter, Kohlberg & Co
“Great networking opportunities, interesting topics, and fabulous guest speakers.
“
Alexandra Maisel, Sun Capital Partners
Thanks for your interest
Thank you for your interest in the Private Fund Compliance Regulatory Forum. Your requested resource will be emailed to you shortly.
Explore our event website for more information and be sure to secure your place when ready. We hope to see you at the forum this June in Washington, D.C.
Hear directly from the SEC
Join the SEC as they uncover their 2026 exam priorities and how to best prepare for enforcement actions, how to avoid a referral, and much more.
Stay caught up on new compliance regulations
Hear how your peers are staying compliant with new SEC rules and regulations. Create a plan to navigate new private fund rules, the restricted activities rule, quarterly reporting, the marketing rule, and more.
Build your network
Meet with the largest gathering of compliance experts. Make this your annual stop as you return to the office with a fresh outlook and enhanced network of likeminded peers as you navigate new regulations together.