The SEC and other government agencies continue to focus enforcement efforts on hedge funds and private equity firms. While insider trading continues to be a priority, examinations and sweeps have turned to issues that private funds deal with on a daily basis - valuation, conflicts of interest, big data and transparency of fees and allocation of expenses. As the regulators’ and prosecutors’ expertise and sophistication grow, so does their use of in-house industry experts and data analytics. In addition to managing examinations by the SEC’s new Private Funds Unit, private funds now face the CFTC’s invigorated enforcement department, as well as continued scrutiny by the Department of Justice and New York State Attorney General’s Office of Investor Protection. Attend this program to gain insights into current and anticipated enforcement, regulatory, legislative and compliance priorities and how best to deal with them.
What You Will Learn:
- Current SEC, DOJ, CFTC and other government hedge fund and private equity enforcement and examination priorities
- How to prepare for and manage an examination by the SEC’s newly formed Private Fund Unit
- How to improve your firm’s compliance program and manage regulatory risk in this supercharged enforcement environment
- Legislative and regulatory developments affecting hedge and private equity funds
