Private Equity and the SEC: Exam and Enforcement Trends
As the SEC continues its crackdown on private equity fund managers, it is imperative for these professionals to evaluate their expense allocation processes and ensure maximum compliance.
In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide an in-depth analysis of the recent SEC enforcement trends and developments concerning private equity funds. Speakers will also offer the best compliance practices in light of the regulatory updates.
Key topics include:
- Private Equity Funds and the SEC – Enforcement Updates
- Notable Cases
- Potential Risks and Pitfalls
- Best Compliance Practices
- What Lies Ahead
Timothy D. Katsiff, Partner
Ballard Spahr LLP
- Exam and Enforcement Environment
- Conflicts – Enforcement Cases
Jason Brown, Partner
Ropes & Gray LLP
- Anatomy of an SEC Exam
- SEC Examination Issues – Fees & Expenses
- Recent Enforcement Cases – Fees & Expenses
Benjamin Berringer, Attorney
- Valuation – Enforcement Cases
Who Should Attend:
- Finance Lawyers
- Private Equity Fund Managers
- Investment Advisors
- Risk and Compliance Officers
Timothy D. Katsiff is a member of Ballard Spahr’s Securities Enforcement and Corporate Governance Litigation Group. Timothy represents companies, as well as directors and officers, in securities class actions, derivative actions, and merger litigation. He represents audit and special committees of boards of public companies, broker-dealers, and individuals in U.S. Securities and Exchange Commission and self-regulatory organization proceedings. Timothy also handles business torts, trade secrets and patent suits, and environmental, insurance, and banking cases. He has defended public companies in merger-related shareholder suits in California, Delaware, Maryland, New York, Pennsylvania, and Texas. In addition, he has represented major financial institutions in various matters.
Timothy D. Katsiff is a member of Ballard Spahr’s Securities Enforcement and Corporate Governance Litigation Group. Timothy represents companies, as …
Jason Brown is a partner in the asset management group. Jason has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, venture capital funds, hedge funds, separate accounts and commodity pools.
Representative Clients and Matters:
- Assisted numerous leading private fund managers in registering as investment advisers with the SEC and developing Advisers Act compliance programs.
- Worked with investment advisers on over 90 SEC examinations.
- Regularly advise clients on SEC enforcement actions.
- Advised a wide variety of registered investment advisers on Advisers Act and other regulatory matters as new funds or products are launched, compliance questions arise or new rules are adopted.
Jason Brown is a partner in the asset management group. Jason has extensive experience representing investment advisers to private equity …
Ben Berringer represents clients in government investigations and complex commercial litigation. He has specific experience in private fund litigation, as well as complex trading and market issues. Ben has represented individuals and corporations in connection with regulatory investigations before the Commodity Futures Trading Commission, the Department of Justice, the Securities and Exchange Commission, the Chicago Mercantile Exchange, and numerous non-US regulators. Ben is recognized in Legal 500 United States 2019 as a “Next Generation Lawyers” in their Dispute Resolution: Securities Litigation (Defense) category.
Ben holds a law degree from New York University School of Law where he served as Managing Editor of the NYU Journal of Law and Business. He also holds a master of science degree in economics from the School of Oriental and African Studies in London and an undergraduate degree from Williams College.
Ben Berringer represents clients in government investigations and complex commercial litigation. He has specific experience in private fund litigation, as …
Print and review course materials
Method of Presentation:
General knowledge of investment management regulations
NY Category of CLE Credit:
Areas of Professional Practice
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About Ballard Spahr LLP
Ballard Spahr LLP, an Am Law 100 law firm with more than 650 lawyers in 15 offices in the United States, provides a range of services in litigation, business and transactions, real estate, intellectual property, and finance. The firm’s clients include Fortune 500 companies, financial institutions, life sciences and technology companies, health systems, investors and developers, government agencies, media clients, educational institutions, and nonprofit organizations.
Attorneys in Ballard Spahr’s Securities Enforcement and Corporate Governance Litigation Group advise companies and their officers and directors on every type of securities and corporate governance claim—from derivative actions and regulatory or internal investigations to special committee representations and significant shareholder class actions. With experienced and highly regarded litigators well versed in the nuances of securities and corporate governance litigation, an established Chancery Court practice, and a keen understanding of the high stakes at play, the firm is equipped to lead complex securities and corporate governance litigation of any size. Visit www.ballardspahr.com to learn more.
About Ropes & Gray LLP
Ropes & Gray is a preeminent global law firm with approximately 1,400 lawyers and legal professionals serving clients in major centers of business, finance, technology and government. The firm has offices in New York, Boston, Washington, D.C., Chicago, San Francisco, Silicon Valley, London, Hong Kong, Shanghai, Tokyo and Seoul, and has consistently been recognized for its leading practices in many areas, including finance, private equity, M&A, capital markets, asset management, real estate, tax, antitrust, life sciences, health care, intellectual property, litigation & enforcement, data, and business restructuring.
About Clifford Chance
Clifford Chance is one of the world's pre-eminent law firms, with significant depth and range of resources across five continents. As a single, fully integrated, global partnership, the Firm prides itself on its approachable, collegial and team-based way of working. The Firm always strives to exceed the expectations of its clients, who include corporates from all the commercial and industrial sectors, governments, regulators, trade bodies and not-for-profit organizations. The Firm provides its clients with the highest quality advice and legal insight, which combines the Firm's global standards with in-depth local expertise.
Given Clifford Chance's market-leading position, the Firm also believes it owes it to its clients and its people to be a responsible business. The Firm takes a comprehensive approach to managing risk, and its Responsible Business program is amongst the most comprehensive in the industry – and a fundamental aspect of the Firm's life. Last, but not least, Clifford Chance aims to be easy to work with, down to earth and approachable.