2a. PF – Regulatory Review


This panel will include regulatory experts from the SEC and NFA as well as legal and compliance professionals covering compliance hot button topics for private funds according to current regulatory focus.

Learning Objectives:

  • Discuss how to mitigate and disclose conflicts and affiliations
  • Gain insight on unique custody issues and how to best handle them
  • Understand valuation and liquidity challenges such as credit, debt, and illiquid, plus the fees and expenses
  • Examine new regulatory requirements for futures and derivatives transactions and related compliance obligations

Intermediate                        Program Level: Date: October 19, 2020 Time: 11:45 am - 1:00 pm Adán Araujo Patricia Cushing Marshall Gandy

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org