Private Fund Regulatory Developments and Compliance Challenges 2019

On January 31st, Ken will be on a panel presenting a PLI CLE on Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds.

Register for the event  

Schedule: 1:00 p.m. (EST)

The specific topic areas to be covered are:

• 2019 SEC examination priorities
• Compliance challenges, including addressing issues related to valuations, fees and expenses, and custody, especially for digital assets
• Advertising and marketing issues and challenges, including the potential modernization of the SEC’s advertising rule
• Lessons from recent SEC “failure to supervise” cases.

The other panelists are: 

• James A. Capezzuto, CCO, Oppenheimer Asset Management
• Sara P. Crovitz, Partner, Stradley Ronon Stevens & Young, LP
• Emma Rodriguez Ayala, Partner, Faegre Baker Daniels
• Maurya C. Keating, Associate Regional Director, SEC