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PLI's Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

November 30, 2017

PLI New York Center
1177 Avenue of the Americas, (2nd floor), entrance on 45th Street
New York, New York 10036

9:00 a.m. - 5:00 p.m.

The list of risk areas continues to grow, with examiners and enforcement staff focusing scrutiny on – valuations of illiquid positions, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of "big data," algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering. As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new Private Funds Unit, private funds face continued scrutiny by the CFTC, NFA, Department of Justice and New York State Attorney General’s Office of Investor Protection.

Attend this program to gain valuable insights into current and anticipated enforcement, regulatory, legislative and compliance priorities and how best to deal with them.

Jones Day Securities Litigation & SEC Enforcement partner Joan McKown, will speak on a panel titled, "Thorny Hedge Fund Hypotheticals - Ethical Issues."

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds


Registration for this event is required. To register for this event, webcast, and groupcast sessions and determine CLE credit, visit the Practising Law Institute website.