The Forum has now ended. Click here to view our upcoming Private Fund Compliance Forum taking place November 9-10.

We heard from the SEC and from the FBI cyber security division

May 12 | Cybersecurity: key considerations for a remote workforce & mitigating the impact of a cyber event

May 12 | SEC Risk alert: conflicts of interest, fees and expenses, & code of ethics rules

May 13 | An off the record opening panel on SEC Examinations

Brad Carpenter

Brad Carpenter
Supervisory Special Agent- Cyber Division
Federal Bureau of Investigation

Peter Driscoll

Peter Driscoll
Director, Division of Examinations
U.S. Securities and Exchange Commission

Matthew Harris
Exam Manager
U.S. Securities and Exchange Commission

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.

Agenda highlights were

 

» Considerations for private fund compliance managers in the new administration

» Lessons learned in managing risk during COVID-19

» Procedures for diversity and ESG implementation

» What you need to know about the new marketing rule

» The proposed HSR rule changes

» CCO and CFO and COO and…small(er) firm compliance challenges

» CCO/GC Think-Tank

Featured speakers included

View all speakers
View all speakers

Previous attendees included:

ACON Investments
Alinda Capital Partners
Altpoint Capital Partners
Brookfield Asset Management
Bank of America
BC Partners
Calvert Street Capital Partners
CapitalSpring
Cathay Capital Private Equity
Certares
Declaration Partners
EIG Global Energy Partners
Equity International
General Atlantic
GI Partners
Kainos Capital
KKR
Lightyear Capital
LS Power
Palladium Equity Partners
Presidio Investors
Stepstone Group
Stone Point Capital
TowerBrook Capital Partners
Warburg Pincus
Whitehorse Liquidity Partners

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

Day 1 Day 2
View agenda page

Agenda

Agenda Day one - Wednesday 12th

Plenary sessions
11:00 - 11:20

PEI welcome

Steven Spencer

Speaker:
Seth Kerker, Director of Events – Americas, PEI

Conference Chairman:
Steven Spencer, Partner and General Counsel, Siris Capital

A speaker photo for Steven  Spencer

Steven Spencer

Partner and Chief Legal Officer, Siris Capital

Read bio
11:25 - 11:55

Opening Keynote Interview with the SEC

Peter Driscoll, Carl Ayers
  • Risk alert: what is of a particular interest to the SEC at this time?
  • Conflicts of interest
    o What are recommended controls and processes in this respect?
    o Suggested procedures for allocating deals across funds
    o When a conflict arises in the course of business, how to address/mitigate it since it can’t be disclosed in advance?
  • Fees & expenses
    o How are expenses allocated at a portfolio company level?
    o What additional items are managers looking to charge back? What mechanism do firms have in place to review “gray” expenses which are not clear? What about one off expenses or if an expense is not mentioned in an LP agreement?
    o How can compliance teams ensure that these items are appropriately disclosed?
    o How to operationally monitor fees and expenses allocation?
    o What processes do firms have in place to ensure expenses charged to LPs are in accordance with fund documents? (back-testing; sampling of expenses charged to funds; monthly internal reports that need to be reviewed? etc.)
    o Allocation of expenses
    o Suggested ways for allocating expenses across funds – what do firms generally do?
    o Suggested strategies around dead deal expense allocations
  • Code of ethics rules
    o Establish, maintain, and enforcing written code of ethics policies and procedures

Interviewee:
Peter Driscoll, Director, Division of Examinations, U.S. Securities & Exchange Commission

Interviewer:
Carl Ayers, Publisher Regulatory, Compliance Watch

Peter Driscoll

Peter Driscoll

Director, Division of Examinations, U.S. Securities & Exchange Commission

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A speaker photo for Carl Ayers

Carl Ayers

Publisher, Regulatory Compliance Watch

Read bio
12:00 - 12:45

Panel Discussion | Biden administration: considerations for private fund compliance managers

Bruce Karpati, Norm Champ, Jacob Comer , Carlo di Florio
  • The new SEC chair appointed by Biden will likely adopt a more aggressive approach to congressional oversight and increase in the number of enforcement actions
  • What initiatives will be deprioritized?
  • How are your peers reviewing and tightening their compliance programs to prepare
  • Progress made by American for Sale and perception of the role PE plays in the economy
  • Rulemaking around sharing deficiency letters
  • Corporate Tax Rates: Capital Gains/Carried Interest

Moderator:
Bruce Karpati, Global Chief Compliance Officer and Counsel, KKR

Panelists:
Norm Champ,
Partner, Kirkland & Ellis
Jacob Comer, General Counsel and Chief Compliance Officer, NovaQuest Capital Management
Carlo di Florio, Global Chief Services Officer, ACA Group

A speaker photo for Bruce Karpati

Bruce Karpati

Partner, Global Chief Compliance Officer & Counsel, KKR

Read bio
A speaker photo for Norm Champ

Norm Champ

Partner, Kirkland & Ellis

Read bio
A speaker photo for Jacob Comer

Jacob Comer

General Counsel and Chief Compliance Officer, NovaQuest Capital Management

Read bio
A speaker photo for Carlo di Florio

Carlo di Florio

Global Chief Services Officer, ACA Group

Read bio
12:50 - 13:05

Networking break

Breakout session I
13:10 - 13:40

Breakout session A | COVID 19: lessons learned in managing risk

Arthur Price , Shauna Harrison, Gregory Hegerich, Alex Labowitz
  • We all learned from COVID-19 emergency can throw a wrench in your daily business operations at a moment’s notice
  • What has been the impact of the Covid-19 and what strategies have been used to to cope?
  • Key lessons learned from past disaster relief events and new procedures put in place
  • What mechanisms would be useful to have in place to identify new risks as they arise (i.e., is it useful to have a risk committee or to have direct contact with senior management or something else?)
  • What is the process by which a compliance professional can work to establish policies and procedures to mitigate risks?

Moderator:
Arthur Price, Managing Director, Chief Compliance Officer and Assistant General Counsel, Thomas H. Lee Partners, L.P.

Panelists:
Shauna Harrison, Director, Compliance – PGIM Private Capital, Prudential Private Capital Group
Greg Hegerich, Head of Compliance – North American Private Investments & Real Estate, Bain Capital
Alex Labowitz, Chief Legal & Compliance Officer, Cadre

A speaker photo for Arthur Price

Arthur Price

Managing Director, Chief Compliance Officer and Assistant General Counsel, Thomas H. Lee Partners, L.P.

Read bio
A speaker photo for Shauna Harrison

Shauna Harrison

Director, Compliance – PGIM Private Capital, Prudential Private Capital Group

Read bio
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 Alex Labowitz

Alex Labowitz

Chief Legal and Compliance Officer, Cadre

Read bio
13:10 - 13:40

Breakout session B | Diversity & ESG: compliance procedures for implementation & oversight

Steven Schwab, Jacqueline Giammarco, Miki Kamijyo, David Smolen
  • How do you staff this ESG role, how do you set KPIs, what are the milestones and goals you should be working towards, and how do you measure success
  • Clarity from DOL on ESG considerations
  • LP influence on diversity & ESG
  • Approaches that funds can take to incorporating ESG
  • How do you set KPIs
  • Where does it start, what are the milestones, what are the essential element
  • How do you staff this ESG role, do have an internal committee or dedicated resources and what point do you need a dedicated resource or consultant
  • What are you doing internally and what are you doing in terms of your portfolio
  • Who is in charge of diversity initiatives
  • Is there a playbook for the evolution of ESG at a PE firm
  • ESG compliance issues including –
    o How to incorporate ESG into investments
    o How to monitor ESG compliance
    o Is there a market for dedicated social impact funds

Moderator:
Steven Schwab, Director, Legal and Chief Compliance Officer, Thoma Bravo

Panelists:
Jacqueline Giammarco, Managing Director and Chief Compliance Officer, Stone Point Capital LLC
Miki Kamijyo, General Counsel & Chief Compliance Officer, Asana Partners
David A. Smolen, Managing Director, General Counsel & Chief Compliance Officer, GI Partners

A speaker photo for Steven 	 Schwab

Steven Schwab

Director, Legal and Chief Compliance Officer, Thoma Bravo

Read bio
A speaker photo for Jacqueline Giammarco

Jacqueline Giammarco

Managing Director and Chief Compliance Officer, Stone Point Capital LLC

Read bio
A speaker photo for Miki Kamijyo

Miki Kamijyo

General Counsel & Chief Compliance Officer, Asana Partners

Read bio
A speaker photo for David  Smolen

David Smolen

Managing Director, General Counsel & Chief Compliance Officer, GI Partners

Read bio
Plenary session
13:45 - 14:45

Lunch networking break

14:45 - 15:30

Panel Discussion | Cybersecurity: key considerations for a remote workforce & mitigating the impact of a cyber event

Stephen Erwin , Brad Carpenter, Kevin Power
  • What we learned from the SolarWinds hack?
  • What do institutional investors and operational due diligence consultants look at in an adviser’s cybersecurity plan and procedures?
  • In light of the SEC’s requirement that fund managers be more involved, what should fund managers be doing with respect to their portfolio companies’ network security? What analyses should the firms be performing to assess cyber risk at their portfolio companies?
  • How involved should compliance professionals be and what should they know? (e.g., should a CCO have IT personnel with him/her during exams?)
  • Policies and procedures for breaches: In the event of a breach, what needs to happen and who does what?
  • The impact of Covid-19
    o What new processes were implemented?
    o Cyber awareness for remote teams

Moderator:
Stephen Erwin, Chief Legal and Compliance Officer, Walker & Dunlop Investment Partners

Panelists:
Brad Carpenter,
Supervisory Special Agent- Cyber Division, Federal Bureau of Investigation
Kevin Power,
Head of Compliance, Pantheon Ventures (US) LP

A speaker photo for Stephen  Erwin

Stephen Erwin

Chief Legal and Compliance Officer, Walker & Dunlop Investment Partners

Read bio
A speaker photo for Brad Carpenter

Brad Carpenter

Supervisory Special Agent- Cyber Division, Federal Bureau of Investigation

Read bio
A speaker photo for Kevin Power

Kevin Power

Head of Compliance, Pantheon Ventures (US) LP

Read bio
Breakout session II
15:35 - 16:05

Breakout session A | Advertising & solicitation: what you need to know about the new marketing rule for investment advisers

James Gaven, Dominick Barbieri, Joseph M. Morrissey, Kelly Pettit
  • The marketing rule reflects the evolving technology and how communications has advanced over the last decade
  • How is advertisement defined
  • What are the appropriate disclosures concerning various marketing practices

Moderator:
James Gaven, Senior Counsel & Chief Compliance Officer, Welsh, Carson, Anderson & Stowe

Panelists:
Dominick Barbieri, Associate General Counsel and Deputy Chief Compliance Officer, Palladium Equity Partners, LLC
Joseph M. Morrissey, Partner, Seward & Kissel LLP
Kelly Pettit, Chief Compliance Officer, General Atlantic

A speaker photo for James Gaven

James Gaven

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

Read bio
A speaker photo for Dominick  Barbieri

Dominick Barbieri

Associate General Counsel and Deputy Chief Compliance Officer, Palladium Equity Partners, LLC

Read bio
A speaker photo for Joseph M.  Morrissey

Joseph M. Morrissey

Partner, Seward & Kissel LLP

Read bio
A speaker photo for Kelly Pettit

Kelly Pettit

Chief Compliance Office and Associate General Counsel, General Atlantic

Read bio
15:35 - 16:05

Breakout session B | Fund obligation management: strategies for streamlining operations

Steven Spencer, Miles Chan, Nadir Nurmohamed, Gwen Reinke
  • How to manage legal costs without compromising quality
  • Setting up a successful compliance program for dealing with obligations in fund documentation, transactions documents, and other essential contracts
  • System for auditing compliance with obligations across the firm

Moderator:
Steven Spencer, Partner and General Counsel, Siris Capital

Panelists:
Miles Chan,
VP/GM of Insight, InCloudCounsel
Nadir Nurmohamed, General Counsel and Chief Compliance Officer ,Searchlight Capital
Gwen Reinke, Chief Compliance Officer, Vista Equity Partners

A speaker photo for Steven  Spencer

Steven Spencer

Partner and Chief Legal Officer, Siris Capital

Read bio
A speaker photo for Miles Chan

Miles Chan

VP/GM, InCloudCounsel

Read bio
A speaker photo for Nadir Nurmohamed

Nadir Nurmohamed

General Counsel and Chief Compliance Officer, Searchlight Capital

Read bio
A speaker photo for Gwen Reinke

Gwen Reinke

Chief Compliance Officer, Vista Equity Partners

Read bio
Interactive networking break
16:10 - 16:25

Networking break

Think Tank Session
16:30 - 17:30

CCO & GC Only Think Tank Session

Abrielle Rosenthal

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

Moderator:
Abrielle Rosenthal, Managing Director, Chief Compliance Officer and co-Chief Human Resources Officer, TowerBrook Capital Partners L.P.

A speaker photo for Abrielle Rosenthal

Abrielle Rosenthal

Managing Director, Chief Compliance Officer and co-Chief Human Resources Officer, TowerBrook Capital Partners L.P.

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17:30 - 18:00

Close of day one

Agenda

Agenda day two - Thursday 13th

Plenary sessions
10:45 - 11:15

Women's Networking Roundtable

Alpa Patel

Facilitator:
Alpa Patel, Partner-Investment Funds Regulatory Solutions Group, Kirkland & Ellis LLP

A speaker photo for Alpa Patel

Alpa Patel

Partner-Investment Funds Regulatory Solutions Group, Kirkland & Ellis LLP

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11:20 - 11:30

PEI welcome

11:30 - 12:15

Plenary Session – An off the record opening panel on SEC Examinations

Nabil Sabki, Matthew Harris, Fizza Khan

Moderator:
Nabil Sabki, Partner, Latham & Watkins

Panelists:
Matthew Harris, Exam Manager, U.S. Securities & Exchange Commission
Fizza Khan, Chief Executive Officer, Silver

A speaker photo for Nabil Sabki

Nabil Sabki

Partner, Latham & Watkins

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A speaker photo for Matthew Harris

Matthew Harris

Exam Manager, U.S. Securities & Exchange Commission

Read bio
A speaker photo for Fizza Khan

Fizza Khan

Chief Executive Officer, Silver

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12:20 - 12:35

Networking break

Plenary sessions
12:40 - 13:10

Plenary Session – Conflicts of interest: recent considerations (SPACs & other) for private fund managers

Jason E. Brown, Noah Leichtling , John McGuinness, Aidan O'Connor

Moderator:
Jason E. Brown, Partner, Ropes & Gray LLP

Panelists:
Noah Leichtling, Partner, General Counsel and Chief Compliance Officer, Gamut Capital
John McGuinness, Chief Compliance Officer and Corporate Counsel, StepStone Group
Aidan O’Connor, Partner, Chief Compliance Officer (US), Chief US Regulatory Counsel, SoftBank Investment Advisers

A speaker photo for Jason E.  Brown

Jason E. Brown

Partner & Co-Head of Private Funds Regulatory Practice, Ropes & Gray LLP

Read bio
A speaker photo for Noah Leichtling

Noah Leichtling

Partner, General Counsel and Chief Compliance Officer, Gamut Capital

Read bio
A speaker photo for John McGuinness

John McGuinness

Chief Compliance Officer and Corporate Counsel, StepStone Group

Read bio
A speaker photo for Aidan  O'Connor

Aidan O'Connor

Partner, Chief Compliance Officer (US), Chief US Regulatory Counsel, SoftBank Investment Advisers

Read bio
13:15 - 14:15

Networking lunch break

Breakout session III
14:15 - 14:45

Breakout session A | The CCO/CFO/COO/GC: unique challenges for those wearing many hats

Joel Wattenbarger, Joshua Cherry-Seto, Andrew W. Petri, Leigh Rovzar
  • Small(er) firm compliance challenges
  • Practical strategies for executing compliance functions for CCOs wearing dual or multi-hats
  • What are the most important compliance tasks that need to be executed for an officer to feel comfortable that enough has been done?
  • Effectively handling personal trading and its reporting requirements at a smaller firm
  • What are the cybersecurity protections smaller firms should have in place?

Moderator:
Joel A. Wattenbarger, Partner, Ropes & Gray LLP

Panelists:
Joshua Cherry-Seto,
Managing Director, CFO & CCO, Blue Wolf Capital Partners
Andrew W. Petri, Chief Financial Officer and Chief Compliance Officer, Pfingsten Partners
Leigh Rovzar, Partner, General Counsel & Chief Compliance Officer, BayPine and Declaration Partners

A speaker photo for Joel  Wattenbarger

Joel Wattenbarger

Partner, Ropes & Gray

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Joshua Cherry-Seto, Blue Wolf Capital

Joshua Cherry-Seto

Managing Director, CFO & CCO, Blue Wolf Capital Partners

Read bio
A speaker photo for Andrew W. Petri

Andrew W. Petri

Chief Financial Officer and Chief Compliance Officer , Pfingsten Partners

Read bio
A speaker photo for Leigh Rovzar

Leigh Rovzar

Partner, General Counsel & Chief Compliance Officer, BayPine and Declaration Partners

Read bio
14:15 - 14:45

Breakout session B | Moving from single to multiple strategies: impacts to the compliance function

Kevin M. Bloss, Steve Eisner, Daren Schneider, Jason Scoffield
  • What is there for a compliance officer to pay attention to when a new strategy (e.g., debt fund) is contemplated by a firm’s management?
  • Practical strategies for dealing with conflicts when a firm is engaged in multiple strategies
  • How to monitor and track these conflicts
  • Should a specific conflict policy be in place?

Moderator:
Kevin M. Bloss, Associate General Counsel, CarVal Investors

Panelists:
Steve Eisner,
Partner, General Counsel and Chief Compliance Officer, Francisco Partners
Daren Schneider, Chief Financial Officer and Chief Compliance Officer, JLL Partners, LLC
Jason S. Scoffield, Chief Compliance Officer, Audax Management Company, LLC

A speaker photo for Kevin M.  Bloss

Kevin M. Bloss

Associate General Counsel, CarVal Investors

Read bio
A speaker photo for Steve Eisner

Steve Eisner

Partner, General Counsel and Chief Compliance Officer, Francisco Partners

Read bio
A speaker photo for Daren Schneider

Daren Schneider

Chief Financial Officer and Chief Compliance Officer, JLL Partners, LLC

Read bio
A speaker photo for Jason  Scoffield

Jason Scoffield

Chief Financial Officer and Fund Counsel, Audax Management Company

Read bio
14:45 - 15:00

Close of day two

Satisfy your continuing education credit requirements

Earn CPE and CLE credits

To earn CPE or CLE credits for attending the Private Fund Compliance Spring Forum 2021, you must view conference sessions when presented live, at specified scheduled times in their entirety, for applicable sessions where credits will be offered.

You will not be eligible to receive credits for sessions viewed through on-demand after the live session has concluded.

Earn up to 7.0 CPE credits

Earn up to 7.0 Continuing Professional Education (CPE) credits at this year’s Private Fund Compliance Spring Forum. 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.

Earn up to 5.5 CLE credits

2021 Speakers

PEI’s Private Fund Compliance Spring Forum event offered a unique opportunity for senior compliance professionals in the private equity sector to gather for thought leadership, networking, and more.

Interested in speaking? Contact Kellie Green at kellie.g@peimedia.com.

Carl Ayers

Publisher, Regulatory Compliance Watch

Carl has been the publisher of Regulatory Compliance Watch since 2008. He has won several national journalism awards, including for investigative reporting. Recent national awards include a second place award for Best Spot News for a story reporting… Read full bio

Dominick Barbieri

Associate General Counsel and Deputy Chief Compliance Officer, Palladium Equity Partners, LLC

Mr. Barbieri joined Palladium in 2017 and serves as Associate General Counsel and Deputy Chief Compliance Officer. Most recently, he served as Senior Counsel with the Division of Enforcement of the U.S. Securities and Exchange Commission. Prior to th… Read full bio

Kevin M. Bloss

Associate General Counsel, CarVal Investors

Kevin Bloss is CarVal Investors' Associate General Counsel. He oversees all legal and regulatory matters related to the organization, financing and management of the firm's credit funds and CLO platform. Mr. Bloss also advises on legal and regulatory… Read full bio

Jason E. Brown

Partner & Co-Head of Private Funds Regulatory Practice, Ropes & Gray LLP

Jason Brown is a partner in the asset management group. 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 pool… Read full bio

Brad Carpenter

Supervisory Special Agent- Cyber Division, Federal Bureau of Investigation

Brad Carpenter is a Supervisory Special Agent with FBI Cyber Division and currently manages FBI Cyber Operations with the National Cyber Forensics and Training Alliance (NCFTA) in New York. As an FBI Special Agent for over 18 years, he has been respo… Read full bio

Norm Champ

Partner, Kirkland & Ellis

Norm Champ is a corporate partner in the New York office of Kirkland & Ellis LLP, where he is a member of the Investment Funds group. Norm’s practice specializes in solving complex regulatory issues related to the structuring, formation, governan… Read full bio

Miles Chan

VP/GM, InCloudCounsel

Miles is the VP / GM of Insight at InCloudCounsel. Prior to InCloudCounsel, Miles practiced corporate and securities law at Weil Gotshal in London and Simpson Thacher in New York. Miles holds a J.D. from the University of Chicago and a B.A. from Wash… 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 Chief Compliance Officer, NovaQuest Capital Management

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

Carlo di Florio

Global Chief Services Officer, ACA Group

Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversi… Read full bio
Peter Driscoll

Peter Driscoll

Director, Division of Examinations, U.S. Securities & Exchange Commission

Peter Driscoll was named Director of the U.S. Securities and Exchange Commission’s Division of Examinations (formerly, the Office of Compliance Inspections and Examinations, called OCIE) in October 2017, after serving as Acting Director since January… Read full bio

Steve Eisner

Partner, General Counsel and Chief Compliance Officer, Francisco Partners

Steve Eisner is Partner, 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 C… Read full bio

Stephen Erwin

Chief Legal and Compliance Officer, Walker & Dunlop Investment Partners

Mr. Erwin joined Walker & Dunlop Investment Partners (“WDIP”), a wholly owned subsidiary of Walker & Dunlop, Inc. in 2018. As the firm’s Chief Legal and Compliance Officer, he is responsible legal and compliance department oversight of the co… Read full bio

James 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. He also serves as an Advisor to Text IQ. Previously… Read full bio

Jacqueline Giammarco

Managing Director and Chief Compliance Officer, Stone Point Capital LLC

Jacqueline M. Giammarco is a Managing Director and Stone Point Capital’s Chief Compliance Officer, member of the Diversity, Equity and Inclusion Committee and Chair of the ESG Committee. She joined Stone Point in 2012 from MF Global where from 2007 t… Read full bio

Matthew Harris

Exam Manager, U.S. Securities & Exchange Commission

Matthew Harris is an Exam Manager in the SEC’s Private Funds Unit (PFU) within the Division of Examinations. Mr. Harris manages teams that examine investment advisers and other entities registered with the Commission, with a focus on advisers to priv… Read full bio

Shauna Harrison

Director, Compliance – PGIM Private Capital, Prudential Private Capital Group

Shauna Harrison is a Director of Compliance at PGIM, Inc., the global investment management business of Prudential Financial, Inc. Ms. Harrison provides compliance oversight to PGIM Private Capital, a business unit within PGIM, Inc. Prior to joining… 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

Miki Kamijyo

General Counsel & Chief Compliance Officer, Asana Partners

Miki A.O. Kamijyo is the General Counsel of Asana Partners. Kamijyo will have overall responsibility for corporate legal matters and ESG (Environmental, Social, and Corporate Governance). Kamijyo has 20 years of experience focusing on real estate and… Read full bio

Bruce Karpati

Partner, Global Chief Compliance Officer & Counsel, KKR

Bruce Karpati joined KKR in 2014, is a Partner of the Firm, and serves as Global Chief Compliance Officer and Counsel. He serves on the Firm’s Risk & Operations Committee, is a member of the Firm’s Valuation Committee, chairs its Global Conflicts… Read full bio

Fizza Khan

Chief Executive Officer, Silver

A pioneer in providing outsourced compliance services to investment firms, Fizza Khan is an expert on regulations governing investment advisers, broker-dealers and registered and private funds. As a hands-on leader across the firm’s flagship service… Read full bio

Alex Labowitz

Chief Legal and Compliance Officer, Cadre

Alex is General Legal & Compliance Officer at Cadre, where he leads the firm’s legal, regulatory and compliance functions and acts as a strategic advisor to the company’s Board of Directors and executive management. Prior to joining Cadre, Alex w… Read full bio

Noah Leichtling

Partner, General Counsel and Chief Compliance Officer, Gamut Capital

Noah Leichtling is a Partner, General Counsel and Chief Compliance Officer of Gamut. Prior to joining Gamut, Mr. Leichtling was a Partner and Head of the New York Corporate Group at Katten Muchin Rosenman LLP, where his principal areas of practice we… Read full bio

John McGuinness

Chief Compliance Officer and Corporate Counsel, 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

Joseph M. Morrissey

Partner, Seward & Kissel LLP

Joseph M. Morrissey is a partner in the Investment Management Group at Seward & Kissel LLP. Mr. Morrissey works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds an… Read full bio

Nadir Nurmohamed

General Counsel and Chief Compliance Officer, Searchlight Capital

Nadir Nurmohamed is the General Counsel and Chief Compliance Officer at Searchlight Capital Partners. Prior to joining Searchlight in 2014, Mr. Nurmohamed worked at Osler, Hoskin & Harcourt LLP in Toronto where he focused on M&A and corporate… Read full bio

Aidan O'Connor

Partner, Chief Compliance Officer (US), Chief US Regulatory Counsel, SoftBank Investment Advisers

At SoftBank Investment Advisers, we believe the next stage of the Information Revolution is underway. Through the SoftBank Vision Funds, we are investing up to $100 billion in the businesses and technologies that will help make it possible. We offer… Read full bio

Alpa Patel

Partner-Investment Funds Regulatory Solutions Group, Kirkland & Ellis LLP

Alpa Patel is a partner in the Investment Funds Regulatory Solutions Group of Kirkland & Ellis LLP. Prior to joining Kirkland, she served as Branch Chief of the Private Funds Branch of the Investment Adviser Regulation Office in the SEC’s Divisio… Read full bio

Andrew W. Petri

Chief Financial Officer and Chief Compliance 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

Kelly Pettit

Chief Compliance Office and Associate General Counsel, General Atlantic

Kelly Pettit is the Chief Compliance Officer and Associate General Counsel at General Atlantic. She also serves on the firm’s Operating Committee. In her role, Kelly oversees the firm’s global regulatory compliance program and works on capital partne… Read full bio

Kevin Power

Head of Compliance, Pantheon Ventures (US) LP

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

Arthur Price

Managing Director, Chief Compliance Officer and Assistant General Counsel, Thomas H. Lee Partners, L.P.

Arthur B. Price is Chief Compliance Officer and Assistant General Counsel at Thomas H. Lee Partners, L.P. (“THL”), a private equity firm based in Boston. Prior to joining THL in 2011, Mr. Price practiced law at Ropes & Gray LLP. Mr. Price holds a… Read full bio

Gwen Reinke

Chief Compliance Officer, Vista Equity Partners

Gwen Reinke joined Vista Equity Partners in 2014 and is Vista’s Chief Compliance Officer. Ms. Reinke oversees the regulatory and compliance functions for Vista, along with legal oversight for internal firm matters including fundraising. Prior to join… Read full bio

Abrielle Rosenthal

Managing Director, Chief Compliance Officer and co-Chief Human Resources Officer, TowerBrook Capital Partners L.P.

Ms. Rosenthal is a Managing Director, Chief Compliance Officer and co-Chief Human Resources Officer of TowerBrook Capital Partners. Prior to joining TowerBrook, Ms. Rosenthal was a corporate partner in the London office of Kirkland & Ellis advisi… Read full bio

Leigh Rovzar

Partner, General Counsel & Chief Compliance Officer, BayPine and Declaration Partners

Leigh is a Partner, General Counsel, and Chief Compliance Officer of both Declaration Partners LP and BayPine LP. Leigh joined BayPine in 2020 and Declaration in 2018. Prior to joining Declaration, Leigh was a Senior Vice President and Co-Head of the… Read full bio

Nabil Sabki

Partner, Latham & Watkins

Nabil Sabki is a partner of Latham & Watkins whose practice focuses on the representation of financial service companies, including investment advisers, private equity and hedge fund managers, private investment funds, registered mutual funds and… Read full bio

Daren Schneider

Chief Financial Officer and Chief Compliance Officer, JLL Partners, LLC

Daren Schneider, Chief Financial Officer and Chief Compliance Officer, joined JLL Partners in 2018. Mr. Schneider, a seasoned finance professional with over 20 years of experience in private equity, plays a leading role in the firm's management, incl… Read full bio

Steven Schwab

Director, Legal and Chief Compliance Officer, Thoma Bravo

Steven Schwab is Thoma Bravo’s Director of Legal and Chief Compliance Officer and is based in Chicago. In his role, Steven’s responsibilities include legal, compliance and regulatory matters at Thoma Bravo; including the design, implementation and op… 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

David Smolen

Managing Director, General Counsel & Chief Compliance Officer, GI Partners

David Smolen is the Managing Director, General Counsel & Chief Compliance Officer of GI Partners. Mr. Smolen chairs the Firm's ESG Committee. Prior to joining GI Partners, Mr. Smolen was Senior Counsel & Chief Compliance Officer at Silver Lak… 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

Joel Wattenbarger

Partner, Ropes & Gray

Joel Wattenbarger is a partner in the asset management group. Joel represents investment management clients, focusing primarily on hedge funds, funds of funds, private equity funds and fund managers. He advises clients on the establishment of funds a… Read full bio

2021 Sponsors

PEI’s Private Fund Compliance Spring Forum event offered 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 2021, contact Cristiana Crocco at cristiana.c@peimedia.com call +1 646 921 0923.

Learn, engage and connect online

As we navigated the global health crisis, we continued to offer the private equity community a Forum to engage, learn, and network. The Private Fund Compliance Spring Forum delivered the same first class dynamic content and peer networking opportunities through our virtual platform.

Our Spring forum brought together the most sophisticated GPs and associations to discuss why, when, and how your firm should implement an effective compliance strategy.

Network and build key relationships

Network at any time throughout the two day virtual Private Fund Compliance Spring Forum. Take advantage of our virtual meeting tools by sending a message or scheduling a face to face video meeting with Forum attendees.

  • Early access to the platform: Get a jumpstart on your virtual experience when the platform opens six weeks prior to the event (April 1). Customize your own individual profile and personal agenda and begin browsing through fellow attendee and speaker profiles.
  • Search, send, and schedule features: Search attendee profiles, send fellow attendees a message, and schedule a private, face to face video meeting anytime during the conference. Use the built-in search function to filter the list of attendees based on selected criteria such as fund type, sector focus, strategy, AUM, etc.

Participate in live and interactive discussions

Through the integrated Zoom platform, participate in a wide range of impactful discussions in various formats that include invitation only think-tankssector focused breakout sessions and keynote fireside chats with industry leaders.

Platform highlights:

  • Live panel discussions with live audience Q&A
  • Create a personalized schedule by adding select sessions and face to face virtual meetings to your customized agenda “My Agenda”
  • Networking meeting tools
  • Interactive discussion boards
  • Automated reminders
  • On-demand playback access to select sessions for up to 12 months

Pre-Event Resources