Hot topics for Private Fund Managers
In this CLE course, a panel of thought leaders and professionals organized by The Knowledge Group will provide the audience with an overview of the latest and remarkable issues of this significant topic. The panel aims to help the audience understand the hot topics for private fund managers. The panel will also offer notable insights regarding best practices for specific areas of concern, exam preparation and survival.
Key topics include:
- The SEC's 2015 Examination Priorities - An Update
- "Market-Wide Risks" Issues, including cybersecurity
- Use of Data Analytics in Illegal Activities Identification
- Specific Private Fund Exam Priorities:
- Lack of transparency, allocation of fees and hidden expenses
- Valuation and marketing, including improper performance advertising and past specific recommendations
- Conflicts (trade allocations, side-by-side management, principal transactions)
- Transition planning
Linda Smith, Managing Director
SEC Compliance Consultants, Inc.
- State of the Industry
- New Rule-making initiatives and recent SEC Guidance
- SEC Exam Focus
Jonathan B. Levy, Partner
Lindquist & Vennum LLP
- Lack of Transparency/Disclosure
- Hidden Expenses
- Conflicts of Interest
- CCO Liability
Genna Garver, Of Counsel
Dorsey & Whitney LLP
- Custody Rule 206(4)-2
- Proposed Changes to Form ADV
- Proposed Amendments to Investment Advisers Act Rules
Who Should Attend:
- Legal Lawyers
- Legal Counsel and Advisers
- Private Fund Managers
- Top Level Management
- Risks and Data Analysts
- Private and Public Companies
- Other Related/Interested Professionals and Organizations
Genna Garver is Chair of the Investment Regulation Group at Dorsey & Whitney LLP and based in the firm’s New York office. Ms. Garver’s practice consists of advising investment management clients in connection with Federal and state securities laws, as well as private fund formations and offerings. In particular, she represents financial institutions in transactional and regulatory matters with a focus on investment advisers, hedge funds and other private investment funds implementing various investment strategies.
Ms. Garver advises clients on: formation and offering matters for both domestic and offshore funds; SEC and state investment adviser, broker-dealer and private fund regulation; Investment Advisers Act compliance programs; and mock audits and regulatory examinations and investigations. She also counsels banking and private fund clients on all aspects of the Volcker Rule and related matters. Ms. Garver also counsels banking clients on complex structuring issues and affiliated transactions.
Genna Garver is Chair of the Investment Regulation Group at Dorsey & Whitney LLP and based in the firm’s New …
Jon Levy counsels investment advisors. His work encompasses organizing, registering, and structuring investment advisers and investment companies. He provides advice on legal and regulatory compliance matters, and works closely with investment advisers and investment funds on regulatory matters and inspections and examinations. Jon leads the investment management practice at Lindquist & Vennum LLP.
Jon also regularly advises private and public companies, as well as officers, directors, and shareholders, on a wide range of matters related to securities law including corporate governance, disclosure, insider trading, fiduciary duties and related matters. He has significant experience in public-company mergers and acquisitions and other change-in-control and strategic transactions.
As a Director of the Twin Cities Chapter of the CFA Society and a steering committee member of the Twin Cities Registered Institutional Investment Adviser Compliance Roundtable, Jon regularly works with portfolio managers and compliance professionals on investment adviser legal and compliance issues. Jon is a graduate of the University of Pennsylvania Law School.
Jon Levy counsels investment advisors. His work encompasses organizing, registering, and structuring investment advisers and investment companies. He provides advice …
Linda Smith heads the New York office of SEC Compliance Consultants and advises hedge fund and private equity fund managers on regulatory and compliance matters. Prior to joining SEC3, Linda worked for the investment management group of Dechert LLP and Purrington Moody Weil LLP in New York. Before that, she was a practicing attorney in Europe and practiced law in London, Brussels and Athens.
Linda is a founding member and Co-Chair of the Private Investment Funds Subcommittee of the New York State Bar Association. She is also a member of the Securities Regulation Committee of the NYSBA, the ABA Subcommittee on Hedge Funds, the Women Investment Management Forum, and the Legal Advisory Group of the 100 Women in Hedge Funds. She is a frequent speaker in industry conferences in the U.S. and internationally.
Linda holds a J.D. from Columbia Law School where she was a Harlan Fiske Stone Scholar. She earned an LL.M. in International Business Law from the London School of Economics where she was a NATO Scholar, and an LL.M. in European Union Law (in French) from the University of Brussels Law School, where she graduated magna cum laude. She also earned an LL.B. from the Aristotle University Law School, where she graduated summa cum laude. She is fluent in French and Greek.
Linda Smith heads the New York office of SEC Compliance Consultants and advises hedge fund and private equity fund managers …
Print and review course materials
Method of Presentation:
NASBA Field of Study:
NY Category of CLE Credit:
Areas of Professional Practice
Unlock All The Knowledge and Credit You Need
Leading Provider of Online Continuing Education
It's As Easy as 1, 2, 3
Get Your 1-Year All Access Pass For Only $199
About Dorsey & Whitney LLP
Dorsey & Whitney LLP is a business law firm with 18 offices and 550 lawyers in key commercial centers, from North America to Europe and the Asia-Pacific region.
About Lindquist & Vennum LLP
Lindquist & Vennum’s 170 attorneys provide a full array of corporate finance, transactional, and litigation services for clients from offices in Minnesota, Colorado, and South Dakota. The firm has established and emerging practices in many industry and specialty areas, including private equity, financial institutions, real estate, healthcare and life sciences, renewable energy, and bankruptcy. For nearly five decades, the firm has served corporate, governmental, and individual clients across the nation and around the world. For more information, visit www.lindquist.com.
About SEC Compliance Consultants, Inc.
SEC Compliance Consultants, Inc. is a compliance and regulatory firm assisting hedge funds, private equity funds and traditional investment advisers in registering with the SEC and maintaining robust compliance programs. The team is comprised of attorneys, accountants and former SEC examiners.