Private Funds
CFO
CFO
Private Fund Compliance Fall Forum Virtual Experience 2021
9 - 10 November 2021,
Available anywhere
Maintain compliance in a shifting regulatory environment
With increasing responsibilities, investor demands and regulatory requirements, CFOs and CCOs are wearing multiple hats while navigating an evolving regulatory environment.
The Private Fund Compliance Fall Forum is poised to examine what senior finance and compliance professionals are balancing in order to meet investor and regulatory demands. Attendees will discuss what should be on the radar for CFOs and CCOs and what has impacted the private fund industry thus far and what to expect in the years to come.
The Forum provides a platform for private equity and venture capital CFOs and CCOs to come together to discuss where finance and compliance roles intersect and the strategies for approaching emerging issues and evolving responsibilities.
Key topics to be covered at the event:
- Cybersecurity
- SEC exams
- Fee and expense allocations
- Conflicts of interest, valuations
- How to grow your firm
Why attend the Forum?
Explore critical changes
Learn about the latest approaches for mitigating risk and managing the firm’s compliance program.
Connect with the industry
Join 125+ finance and compliance professionals to discuss how to effectively manage their dual-hatted functions. Build relationships that last through the networking breaks and lunches.
CCO and GC hot topics
Discover new ways to deal with conflicts of interest, cybersecurity, tax changes, expense allocations and valuations.
Learn about the new leadership and priorities at the Division of Examinations
Hear directly from the SEC
What our attendees say about the event
Noah Becker
CFO, LLR Partners
Very well done and good mix of topics and speakers.
David Ludwig
Director Business Development, Vistra
Good conference, lot’s of C-level exec’s. The outsourcing breakout session was excellent!
Bryan Hiller
Business Development Executive, Kroll
Excellent group of participants highly engaged throughout.
Satisfy your annual CLE & CPE requirements at this year’s Forum
PEI is registered with the National Association of State Boards of Accountancy
(NASBA) as a sponsor of continuing professional education on the National Registry
of CPE Sponsors. State boards of accountancy have final authority on the acceptance
of individual courses for CPE credit. Complaints regarding registered sponsors may
be addressed to the National Registry of CPE Sponsors through its website: www.
NASBARegistry.org.
2021 sponsors
PEI’s Private Fund Compliance Fall Forum offers a unique opportunity for providers to engage and connect with senior compliance professionals in the private equity sector through thought leadership, networking, and more.
For exclusive sponsorship packages for 2021, contact Tyler Mitchell at tyler.m@peimedia.com call +1 646 795 3279.
SATISFY YOUR CONTINUING EDUCATION CREDIT REQUIREMENTS
Earn CPE and CLE credits
To earn CPE or CLE credits for attending the Private Fund Compliance Spring Forum 2021, you must view conference sessions when presented live, at specified scheduled times in their entirety, for applicable sessions where credits will be offered.
You will not be eligible to receive credits for sessions viewed through on-demand after the live session has concluded.
Earn up to 6.6 CPE credits
Earn up to 6.6 Continuing Professional Education (CPE) credits at this year’s Private Fund Compliance Spring Forum. PEI is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.
Earn up to 6.25 CLE credits
Agenda
Interested in speaking at the Forum in 2021? Please contact Erin Wolfe at Erin.Wolfe@peimedia.com.
*Please Note: All session times listed are in Eastern Time (EDT)
View agenda page
Agenda
Day 1 - Tuesday 9th
Plenary session
09:30 - 10:05
Women’s Networking Roundtable
Marian Fowler
Panelists:
Marian Fowler, Partner, Investment Funds Regulatory Solutions Group, Kirkland & Ellis
10:05 - 10:10
PEI Welcome
Erin Wolfe, Senior Conference Producer, PEI
10:10 - 11:00
SEC’s Opening Keynote Interview
Jennifer Conwell,
Jennifer Duggins
Panelists:
Jennifer Conwell, Senior Member, Private Funds Unit, Securities and Exchange Commission
Jennifer Duggins, Assistant Director – Co-Head Private Funds Unit, U.S. Securities and Exchange Commission
11:00 - 11:50
The SEC’s Climate and ESG Task Force: Preparing for Increased Scrutiny
Jason Brown,
Eugenie M. Cesar-Fabian,
Bruce Karpati,
Andrew Prodromos,
Jordan Stutts
- What are the most common compliance issues relating to funds’ ESG strategies?
- How to monitor ESG compliance
- Avoiding material gaps or misstatements in disclosures of climate risks
Panelists:
Jason Brown, Partner, Ropes & Gray
Eugenie M. Cesar-Fabian, Partner, Head of ESG & Sustainability, Palladium Equity Partners, LLC
Bruce Karpati, Global Chief Compliance Officer and Counsel, KKR
Andrew Prodromos, Deputy General Counsel and Chief Compliance Officer, Insight Partners
Moderator:
Jordan Stutts, Senior Reporter, New Private Markets
11:50 - 12:30
Private Fund Compliance Data Privacy & Governance
Kelly Pettit,
Joel Wattenbarger
- Types of risks facing private equity fund managers in terms of their data privacy and cyber security
- Risks in terms of how data are shared and used
- Protecting high quality data throughout the lifecycle of that data
- Complying with privacy and security regulations
- Cybersecurity concerns
-
- Ransomware attacks
Interviewee:
Kelly Pettit, Chief Compliance Officer and Associate General Counsel, General Atlantic
Interviewer:
Joel Wattenbarger, Partner, Ropes & Gray
12:30 - 13:20
High Risk Area: The Handling of Material Non-Public Information
Doug Chiciak,
Scott Mathias,
Patty Nykodym,
Steven Spencer,
Norm Champ
- How to put together comprehensive and actionable policies for managing MNPI
- How do you continuously monitor for MNPI misuse
- What was learned from the big 2020 MNPI cases
Panelists:
Doug Chiciak, Chief Compliance Officer, Lightyear Capital
Scott Mathias, Co-Chief Compliance Officer of Real Estate, Blackstone
Patty Nykodym, Chief Financial Officer/Chief Compliance Officer, FFL Partners
Steven Spencer, Partner & General Counsel, Siris Capital
Moderator:
Norm Champ, Partner, Kirkland & Ellis
13:20 - 14:20
Networking & Lunch Break
14:20 - 15:10
Private Equity Social Media: Dos and Don'ts
Jennifer Boyce,
Laura Ferrell,
Alicia Novak,
Kelly Riera,
Samantha Rowan
- Benefit of social media for private equity funds
- What are the compliance risks posed by social media?
- How has the new marketing rule of 2020 changed things?
- How to develop and implement policies to manage internal and external social media processes
Panelists:
Jennifer Boyce, General Counsel and CCO, Riverside Company
Laura Ferrell, Partner, Latham Watkins
Alicia Novak, Deputy Chief Compliance Officer, HarbourVest Partners
Kelly Riera, Chief Compliance Officer, TA Associates
Moderator:
Samantha Rowan, Editor, Real Estate Capital USA, PEI Media
15:10 - 16:00
Regulatory & Compliance Considerations During Fundraising
Gregory Hegerich,
Ross Oliver,
Sanjay Sanghoee,
Jason Scoffield,
Meaghan A. Kelly
- What information are limited partners increasingly asking regarding fund compliance program during fundraising
- Compliance considerations regarding
- claims made during private equity fund raising
- your investment strategy and fee structures
Panelists:
Gregory Hegerich, Head of Compliance, North America Private Investments & Real Estate, Corporate, Bain Capital
Ross Oliver, Partner & General Counsel, Crestview Partners
Sanjay Sanghoee, COO, CFO and CCO, Delos Capital
Jason Scoffield, Chief Compliance Officer, Audax Management Company
Moderator:
Meaghan Kelly, Partner, Simpson Thacher & Bartlett
16:00 - 16:00
Close of Day 1
Agenda
Day 2 - Wednesday 10th
Think Tank Session
09:15 - 10:00
Think Tank Session
Gregory Hegerich
Exclusive closed-door session for private fund compliance managers to meet with peers in the industry to discuss the most pressing challenges having an impact on their role and responsibilities.
Facilitator:
Gregory Hegerich, Head of Compliance, North America Private Investments & Real Estate, Corporate, Bain Capital
Plenary session
10:00 - 10:40
Opening Keynote Panel/Interview - Institutional Investors: The LP Perspective
Katherine Hill Ritchie,
Lawrence Aragon
- Investment firm’s due diligence of investment managers
- Building and maintaining strong relationships between LP & GPs
- LP expectations on DEI & ESG policies
- Expectations re RFIs
Interviewee:
Katherine Hill Ritchie, Director of Strategic Development, Nottingham Spirk Family Office
Interviewer:
Lawrence Aragon, West Coast Bureau Chief, PEI Alternative Insight
10:40 - 11:10
Networking Break
11:10 - 11:50
Ensuring a Smooth LIBOR Transition
Abram Ellis,
Hugh Kennedy
The impacts on the LIBOR transition on multiple areas including:
- reviewing loan agreements and other debt instruments
- updates to disclosure documents
- marketing materials
- contracts
- service provider agreements
Interviewee:
Abram Ellis, Partner, Simpson Thacher & Bartlett
Interviewer:
Hugh Kennedy, Group Publisher, PEI Media
11:50 - 12:30
Setting the Tone and Creating a Culture of Compliance
Julie Bender,
Joshua Gilbert,
Kara Goodloe Harling,
Paul Marnoto,
Carl Ayers
- What are some of the biggest compliance issues that firms struggle with?
- How can firms prepare for operating in a more heavily regulated environment
- What are some ways to effectively handle the reporting requirements at an emerging firm?
Panelists:
Julie Bender, Vice President, Chief Financial Officer and Chief Compliance Officer, Frontenac Company
Joshua Gilbert, Chief Financial Officer,Freestyle Capital
Kara Goodloe Harling, CCO, Senior Managing Director and Chief Compliance Officer, Mountain Capital
Paul Marnoto, General Counsel, Parthenon Capital Partners
Moderator:
Carl Ayers, Publisher, Regulatory and Compliance Watch
12:30 - 12:30
Close Day 2
2021 speakers
We are currently confirming the compliance experts from top private equity firms who will be speaking at the Forum. Interested in speaking at the 2021 Forum? Contact Erin Wolfe at Erin.Wolfe@peimedia.com.
Julie Bender
Vice President, Chief Financial Officer and Chief Compliance Officer, Frontenac Company
Jennifer Duggins
Assistant Director, Co-Head Private Funds Unit, U.S. Securities and Exchange Commission
Kara Goodloe Harling
Senior Managing Director and Chief Compliance Officer, Mountain Capital Management, LLC
Katherine Hill Ritchie
Director of Strategic Development and Board Member, Nottingham Spirk Family Office
