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Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 (PLI Webcast)
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Groupcast at the offices of the Atlanta Bar Association

When: 11/30/2017
9:00 am to 5:00 pm
Where: Atlanta Bar Association
229 Peachtree Street NE
Suite 400
Atlanta, Georgia  30303
United States
Presenter: PLI and Atlanta Bar CLE
Contact: (404) 521-0781

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Practicing Law Institute and Atlanta Bar CLE will continue working together to bring PLI programs to you! 
PLI is dedicated to providing the legal community with the most up-to-date, relevant information and techniques which are critical to the development of a professional, competitive edge. 
More of PLI's sophisticated and cutting-edge programs will be webcast live at the Atlanta Bar Association Office through May 2017. 

6 CLE hours, including 1 Ethics hour

The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight. 

The list of risk areas continues to grow, with examiners and enforcement staff focusing scrutiny on – valuations of illiquid positions, conflicts of interest, allocation of fees, expenses and investment opportunities, cybersecurity, sourcing of “big data,” algorithmic trading and access to source code, communications with issuers, sell-side analysts and other buy side firms, and anti-corruption and anti-money laundering.  As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistleblowers and data analytics. In addition to managing examinations by the SEC’s new Private Funds Unit, private funds face continued scrutiny by the CFTC, NFA, Department of Justice and New York State Attorney General’s Office of Investor Protection. 

Attend this program to gain valuable insights into current and anticipated enforcement, regulatory, legislative and compliance priorities and how best to deal with them.   

What You Will Learn

  • Hear directly from agency leadership about the latest priorities in current SEC, DOJ, CFTC and other government private fund enforcement and examinations
  • How best to prepare for and manage an examination by the SEC’s Private Fund Unit
  • Hear effective strategies to prevent an examination from becoming a full-fledged enforcement investigation
  • How to improve your firm’s compliance program and manage regulatory risk in this charged enforcement environment
  • Learn how to effectively communicate with regulators
  • Learn new developments on insider trading affecting private funds

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