9d. PF – Adviser Act Compliance for PF Managers: Beyond Theory, Into Practice (Intermediate)


Participants in this session will learn how private fund managers are navigating compliance requirements arising under the Investment Advisers Act.  Topics to be covered will encompass compliance challenges particular to private fund managers.

Learning Objectives:

  • Review and analyze areas where SEC exams have recently focused and best practices to mitigate potential issues: conflicts inherent in expense allocations, co-investments, investment allocations, etc.
  • Discuss the potential impact of proposed amendments to the Advertising and Cash Solicitation rules
  • Understand the Investment Advisers Act books and records requirements
  • Define, track and provide appropriate training for access/control/supervised persons

 

Sponsored by:

Intermediate                        Program Level: Date: October 21, 2020 Time: 10:00 am - 11:15 am Aaron De Angelis Steven Hansen

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