Corey Schuster
Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Private Funds
CFO
CFO
Private Fund Compliance Regulatory Forum
May 21 - 22, 2025
JW Marriott Washington, DC
Decoding regulatory shifts in private equity
The Private Fund Compliance Regulatory Forum will drill down into the changes, including how the incoming administration could reshape the compliance landscape, to make sure you fully understand what’s coming and how to better position your firm.
You’ll hear directly from SEC Commissioner Hester Pierce to keep you up to date on the latest exam priorities and enforcement actions.
With a rich 10+ year history of breaking critical information impacting our industry, private fund compliance professionals make this the must attend event of the year.
Why the Private Fund Compliance Regulatory Forum?
Protect
Protect your firm and investors from SEC enforcement and hear of new actions.
Perfect
Benchmark your firms current compliance processes against others to give you new best practices.
Prepare
Keep yourself up to date on the latest SEC regulations, expectations, and initiatives.
Book before February 7 to save $800+
2024 keynotes from the SEC:
SEC enforcement: insights from the front line
Andrew Dean, Co-Chief – Asset Management Unit – Division of Enforcement, U.S. Securities and Exchange Commission will discuss:
- What you need to know regarding recent SEC enforcement actions
- Self-reporting practices and enforcement cooperation program & remediation
- How to avoid a referral to the Division of Enforcement after receiving a deficiency letter
SEC exams: proactive preparation
Join Daniel Faigus, Senior Specialized Examiner – Private Fund, U.S. Securities and Exchange Commission to:
- Cover 2024 exam priorities
- Discover how you can be proactive with your exam preparations through real-world success stories
- Discuss current risk alerts
“One of my go-to events each year due to the timely program content and excellent panelists.”
Liz Staley, Leerink Capital Partners
“The best part is hearing directly from SEC staff on the very granular matters that impact our day to day.”
Daniel Gewanter, Kohlberg & Co
2025 featured speakers
Attendees included:
What our attendees say about the Forum
Sun Capital Partners
Alexandra Maisel
Great networking opportunities, interesting topics, and fabulous guest speakers.
Kohlberg & Co.
Daniel Gewanter
Enjoyed the SEC perspective and perspective of real CCOs from peers
Omega Funds
Mark Russell
Excellent event, with all topics being highly relevant
Keeping you on top of what’s to come
The forum has established a reputation for keeping its attendees on top of emerging trends and challenges. Through engaging panels, interactive think tanks, working groups, and keynote discussions you’ll cover:
- What to look out for in SEC exams
- SEC enforcement actions
- Adapting to new AML requirements
- Navigating a Trump-era revamp of HSR rule
- Sustainability at a crossroads: political, economic, and regulatory challenges ahead
2025 agenda
View agenda page
Agenda
Day 1 - Wednesday 21st
08:30 - 08:30
Registration & breakfast
08:30 - 09:30
Sponsored VIP Breakfast
Plenary
09:30 - 09:45
Chair’s opening remarks
09:45 - 10:35
Opening Keynote: Hester Peirce, Commissioner, U.S. Securities and Exchange Commission
10:35 - 11:25
Adapting to new AML requirements: the future of private funds under FinCEN
• Developing policies and ensuring they are sufficient to meet the requirements
• Implementation of AML/CFT programs
• What are some of the specific risk metrics for unique circumstances (products, geographies, etc.)
Speaker: Kevin Rooney, Managing Director, Senior Compliance Officer, and Associate General Counsel, Cerebus Capital Management
11:25 - 11:45
Networking coffee break
Breakouts
11:45 - 12:35
Track A: Rules - Antitrust 2.0: navigating a Trump-era revamp of HSR rules
• Rethinking antitrust priorities: market power vs. consumer welfare
• Streamlining M&A approvals and a push for faster regulatory clearances
• Will there be adjustments to the HSR filing thresholds
• SAR Reporting
11:45 - 12:35
Track B: Exams - Valuations: private equity, private debt, real estate, and illiquid assets
• Valuation methodologies for private equity, private debt, real estate, and illiquid assets
• Ensuring accurate financial reporting, investor transparency, and compliance with SEC guidelines
• Key challenges and regulatory considerations for SEC exams
12:40 - 12:40
Track A: Rules - Past, present, and future: interpreting and implementing the SEC marketing rules
• Past: challenges and the ambiguity that led to confusion within the industry
• Present: how the rules are being interpreted and enforced today and what are the pain points (for example, presentation of net performance)?
• Future: potential updates or clarifications of the rules and how private funds can minimize risk moving forward
12:40 - 13:30
Track B: Exams - Cybersecurity compliance: meeting SEC expectations and protecting data
• Conducting thorough cybersecurity risk assessments to identify potential threats to compliance and regulatory requirement
• Implementing data security measures and ensuring the protection of client and fund data
• Developing response procedures that are compliant with legal obligations, including reporting requirements and mitigation efforts
Speaker: Samantha Katz, General Counsel and Chief Compliance Officer, Argand Partners
13:30 - 14:30
Networking luncheon
Plenary
14:30 - 15:20
Sustainability at a crossroads: political, economic, and regulatory challenges ahead
- How has the growing backlash against Environmental, Social, and Governance (ESG) criteria impacted the balance between achieving meaningful sustainability outcomes and delivering financial returns
- How has the EU’s Sustainable Finance Disclosure Regulation (SFDR) affected U.S. fund managers?
- What role do local regulations, such as California’s new ESG laws, play in shaping corporate and investor behavior, and how are businesses adapting to these evolving requirements?
- What are the emerging risks of climate-related litigation, and how might shifts in political leadership post-election affect sustainability practices, policies, and corporate accountability?
15:20 - 16:30
Limited partners perspectives: complex dynamics of potential private fund deregulation
- Current regulatory landscape for private funds and the potential for reduced oversight with the new administration
- Balancing deregulation with investor protection
- How LPs can engage in shaping regulatory discussions around private fund deregulation
16:30 - 16:50
Networking coffee break
Carousel
16:50 - 17:45
Facets of effective compliance programs
A hybrid of the roundtable and think tank formats, groups will share best practices in three areas. Each table will report back to the whole group the key practices in one category.
- Processes
- People (internal & external)
- Technology/Data Management
Facilitator: Brian Anderson, Senior Conference Producer, PEI Group
End of Day 1
17:45 - 18:45
Cocktail reception
Agenda
Day 2 - Thursday 22nd
08:00 - 09:00
Registration & breakfast
Webinar + Workshop
08:00 - 09:00
Comprehensive Preparation for SEC Exams:
This dynamic two-part session is designed to provide private fund managers and compliance professionals with essential tools and strategies for preparing for SEC exams. The first part will be a comprehensive webinar taking place the week of March 17 (exact date TBD). The second part will be an in-person workshop and deep dive into how to prepare a strong day one SEC exam presentation deck, taking place at the Private Fund Compliance Regulatory Forum on May 22.
Part I: webinar (more information to come)
Part II:
First impressions matter: how to prepare a strong day one SEC exam presentation deck
Speakers: Sarah N. Conde, General Counsel, Managing Director & Chief Compliance Officer, Providence Equity Partners
Laura Frattaroli, Deputy CCO, General Atlantic
Think Tank Sessions
09:00 - 09:45
CCOs Think Tank (GP only) (Invite Only)
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
Facilitator: Steven Felsenthal, General Counsel & Chief Compliance Officer, Millburn Ridgefield Corporation
09:00 - 09:45
Senior Compliance Professionals (GPs only)
Designed to facilitate candid discussion, think tanks are closed-door sessions for GPs only. Discussions will be facilitator led and will cover top of mind issues and challenges impacting private fund compliance teams today. Delegates have the opportunity to submit topics for discussion prior to the event.
Facilitator: Jemima John, VP, Compliance, Shamrock Capital Advisors
Plenary
09:55 - 10:00
Chair’s opening remarks
10:00 - 10:50
Keynote Fireside Chat: 2025 SEC exam readiness: focus areas, compliance tactics & emerging risks
- Key focus areas for SEC exams in the coming year and emerging risks related to cybersecurity and technology
- Tips for exam preparedness
- Ensuring compliance and mitigating enforcement risks
10:50 - 11:40
Keynote Fireside Chat: SEC enforcement in private funds: understanding key trends
- How the SEC’s tactics and priorities in regulating private funds have shifted over the years.
- What are the most frequent violations that lead private funds to face SEC enforcement actions?
- What recent trends are shaping SEC enforcement actions in the private fund space?
Keynote: Corey Schuster, Co-Chief, Asset Management Unit, Division of Enforcement at U.S. Securities and Exchange Commission
11:40 - 12:10
Networking break
Peer Insight Interactive Breakout Panels
12:10 - 13:00
Track A: Rules - Navigating regulatory uncertainty: lessons from 2024 and preparing for new rules in 2025
These dynamic breakout sessions will break the mold of traditional panel discussions by offering our audience the chance to actively engage and share their own experiences at multiple points throughout the conversation. These sessions foster real-time collaboration and insightful exchanges, allowing participants to contribute directly to the discussion and learn from each other’s real-world perspectives.
- An interactive panel discussion fostering real-time collaboration and insightful exchanges on rulemaking topics such as:
- how compliance teams managed the challenges of preparing for overturned regulatory obligations in 2024
- how to effectively prepare for new regulations expected in 2025
12:10 - 13:00
Track B: Exams - Preparing for 2025: strengthening compliance programs and navigating key exam priorities
These dynamic breakout sessions will break the mold of traditional panel discussions by offering our audience the chance to actively engage and share their own experiences at multiple points throughout the conversation. These sessions foster real-time collaboration and insightful exchanges, allowing participants to contribute directly to the discussion and learn from each other’s real-world perspectives.
- An interactive panel discussion fostering real-time collaboration and insightful exchanges on 2025 exam priority topics such as:
- Emerging financial technologies
- Cryptoassets
End of Conference
13:00 - 14:00
Luncheon
Pre-Event Resources
Lead the discussion in 2025
Have a topic you would like to discuss at this year’s forum? Contact Kellie Green at kellie.g@pei.group to discuss speaking opportunities.
Sarah Conde
General Counsel, Managing Director & Chief Compliance Officer, Providence Equity Partners
Kevin Rooney
Managing Director, Senior Compliance Officer, and Associate General Counsel, Cerberus Capital Management
Corey Schuster
Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Connect with a community of CFOs, COOs and senior finance executives
The Private Fund Compliance Regulatory 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 2025, contact Josh Stoller at joshua.s@pei.group or call +1 646 970 3923.
2025 Sponsors
Venue
Book your room here to secure your special event rate.
Make essential connections
Be a part of the largest gathering of compliance leaders in the industry. Over two days you’ll build up your book of contacts while discussing solutions to shared challenges with this expansive community.
Sessions promoting collaboration
Breakfast meetings and think tanks
Cover critical issues and exchange solutions on curated topics with your peers at our breakfast meetings and GP-only think tanks.
Networking breaks
Catch up with your peers to build your network and discuss session takeaways during the many designated networking breaks.
Workshops
More hands-on than a traditional panel, our workshops start with a 25 minute discussion followed by a 40 minute peer-to-peer workshop.
Participants at a glance
“Event was a great opportunity to hear from three important constituents: SEC staff, industry advisors, and peers in the trenches who deal with the same challenges I deal with.
“
Daniel Gewanter, Kohlberg & Co
“Great networking opportunities, interesting topics, and fabulous guest speakers.
“
Alexandra Maisel, Sun Capital Partners
Attendees included:
Thanks for your interest
Thank you for your interest in this year’s Private Fund Compliance Regulatory Forum. Your requested resource will be emailed to you shortly.
Explore our event website for more information and be sure to secure your place when ready. We hope to see you at the forum this May in Washington, D.C.
Hear straight from the SEC
Join the SEC in two keynote sessions as they uncover their 2025 exam priorities and how to be proactive in your exam prep, recent enforcement actions, how to avoid a referral, and much more.
Stay caught up on new compliance regulations
Hear from your peers as they discuss how their firm is staying compliant with new SEC rules and regulations. Create a plan to navigate new private fund rules, the restricted activities rule, quarterly reporting, the marketing rule, and more.
Build your network of compliance experts
Meet with the largest gathering of compliance experts at this year’s forum. Make this your annual stop as you return to the office with a fresh outlook and enhanced network of likeminded peers as you navigate new regulations together.
