1c. PF – Legal and Compliance Issues for Private Fund Structures (Intermediate)

Compliance professionals working for firms in the private fund space or seeking to offer a private fund need to understand the structures associated with private funds and the unique compliance issues that may relate to each fund structure. This panel will discuss the various ways in which private funds are structured and the legal and compliance issues unique to each structure. Included within the discussion will be an overview of the key regulatory issues and legislative initiatives related to the offer of a private fund.

Learning Objectives:

  • Understand the various ways in which private funds are structured and jurisdictional considerations
  • Discuss the key SEC and FINRA regulatory provisions that impact private funds
  • Identify material compliance issues associated with direct funds vs fund of funds and other types of funds
  • Review recent and prospective legislative initiatives that may impact private funds and prospective investors


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 10:00 am - 11:15 am Steve Farmer Marc Ponchione

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