These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so excuse the typos. David Smolen, Chief Compliance Officer, Silver Lake Brynn Peltz, Partner, Goodwin Procter LLP Roman A. Bejger, Counsel and Chief Compliance Officer, Providence Equity Partners, LLC Michael Barnes, Senior Manager, Financial Services, Ernst & Young LLP Fund … Read more »
Category: Conference Notes
PEI’s Private Fund Compliance Forum
I’m attending PEI’s Private Fund Compliance Forum on Wednesday and Thursday. I plan to publish several posts over the next few days with my notes from the sessions I attend. If you are here at the forum, I look forward to seeing you. Read more »
FBI and FCPA
In addition to learning about the FBI’s compliance program, understanding white collar criminals, and a visit to the FBI Academy, the FBI Corporate Compliance Officer Outreach Event included a very frank discussion of the Foreign Corrupt Practices Act. The program brought in attorneys from the Department of Justice to discuss their approach to bringing FCPA … Read more »
A Visit to the FBI Academy
As part of my visit to the FBI Headquarters for the FBI Corporate Compliance Officer Outreach Event, we took a trip to Quantico to visit the FBI Academy. The Academy shares space with the Marine Corps base and is therefore behind heavy security. Even with all of that security, there are buildings at the Academy … Read more »
FBI and Understanding White Collar Criminals
As part of my visit to the FBI Headquarters for the FBI Corporate Compliance Officer Outreach Event, Supervisory Special Agent Susan Kossler discussed her work in the Behavior Analysis division of the FBI. The Silence of the Lambs and “Criminal Minds” have glamorized the work of FBI profilers, making them seem like real life versions … Read more »
The FBI’s Compliance Program
As I mentioned last week, I had a chance to meet with the Federal Bureau of Investigation and learn about their compliance program and some aspects of other FBI programs. Patrick W. Kelley gave a very thoughtful overview of the FBI’s compliance program. Like many compliance programs, it was born from a crisis. The FBI … Read more »
My Visit with the FBI
You would expect a visit with the FBI to be terrifying. When they come with their badges out and windbreakers on, you are in trouble. The FBI headquarters is easy spot, sitting right on Pennsylvania Avenue in Washington, D.C. Even once you get past the security guards and metal detectors in the front lobby, visitors … Read more »
A New Era of Fundraising and Marketing
These are my notes from the a New Era of Fundraising and Marketing session at the Private Fund Compliance Forum 2012. Panel Members: Julia D. Corelli, Partner, Pepper Hamilton LLP Kurt A. Krieger, Legal Director, Huntsman Gay Global Capital, LLC Jason Ment, Partner, General Counsel & Chief Compliance Officer, StepStone Group LLC Helane L. Morrison, … Read more »
Insider Trading and Restricted Lists
These are my notes from the “Insider trading and restricted lists” session at the Private Fund Compliance Forum 2012. Two items affect insider trading: federal securities law (10b5) and a firm’s code of ethics under the Investment Advisers Act. The panelists do not circulate a restricted list. The SEC will ask for the restricted list … Read more »
Conducting an Effective Annual Review
These are my notes from the “Conducting an effective annual review” session at the Private Fund Compliance Forum 2012. Moderator: Charles Lerner, Editor, The US Private Equity Fund Compliance Guide and The US Private Equity Fund Compliance Companion & Principal, Fiduciary Compliance Associates LLC Panel Members Nicholas Denton-Clark, Managing Director & Chief Compliance Officer, PineBridge … Read more »