5e. PF – Advisers Act Compliance for PF Managers: Beyond Theory, Into Practice


Panelists in this session will discuss how private fund managers are navigating compliance requirements and specific challenges arising out of the SEC’s expectations and application of the Investment Advisers Act.
Learning Objectives:
• Discuss best practices and practical tips to mitigate potential compliance issues, including inherent conflicts such as expense allocations, co-investments, valuation, and oversight of service providers
• Consider the new advertising rule’s potential monetary and compliance impact on the business, policies and procedures and current legal documents
• Understand and address unique issues related to the implementation of the Code of Ethics Rule requirements for private fund managers
• Define, track and provide appropriate training for access/control/supervised persons

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 10:00 am - 11:15 am

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