8b. IA/PE/PF – Lessons Learned from Key Enforcement Actions (OPEN)

This session will feature an in-depth discussion with two regulators on recent enforcement actions against advisers to separately managed accounts, private funds and private equity funds. The panel will review key enforcement actions, examination coordination, sweeps, and areas of SEC concern and focus. The panel goal is to provide insight regarding compliance policies, procedures, and practices to minimize current enforcement risks.
Advanced Preparation: None
Pre-requisites for participation: None
Learning Objectives:
• Conflicts of interest charges and how to address such conflicts
• Actions involving fees and expenses and how best to disclose issues
• Third party relationships, custody, and political contribution allegations and how to avoid compliance failures
• Considerations for self-reporting, tips for responding to investigations, and strategies for addressing potential enforcement actions


Sponsored by:

Panel                        Program Level: Intermediate Date: October 22, 2019 Time: 3:45 pm - 5:00 pm Kit Addleman Adam Aderton Brendan McGlynn