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.
• 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