Doug Cornelius on compliance for private equity real estate
These are my notes from the “Keynote interview – Working with the SEC” session at the Private Fund Compliance Forum 2012. H. David Kotz, former Inspector General, Office of the Inspector General, United States Securities and Exchange Commission (2007-2012), currently Managing Director, Gryphon Strategies, interviewed by Lois Towers, Principal, Pantheon Ventures Discussed the Madoff debacle … Read more »
These are my notes from the “Mock Audit: Successfully maneuvering your way through an SEC exam” session at the Private Fund Compliance Forum 2012. These are my raw notes, so please excuse the typos and rambling. Moderator: Ted Eichenlaub, Partner, ACA Compliance Group Panel Members: John P. Malfettone, Senior Managing Director, Chief Operating Officer & … Read more »
These are the speaking notes from this session at PEI’s Private Fund Compliance Forum 2012. Panelists: Me Gerry Esposito, Managing Director, CFO & CCO Newbury Partners LLC Audience Polls Registered with the SEC as investment advisers? How many just registered in the last few months (been Dodd-Franked)? Also registered as broker-dealers? (We are not covering FINRA … Read more »
These are my notes from the Improving your compliance program through the use of technology session at the Private Fund Compliance Forum 2012. Moderator: Graham Winfrey, Staff Writer, PEI Media Panel Members: Jeff Faber, Chief Financial Officer, Trafelet & Company, LLC Stephen Marsh, Founder & CEO, Smarsh Scott Ring, General Counsel, Bessemer Venture Partners Based on … Read more »
These are my notes from the “Update on the new regulations and how they will impact you going forward” session at the Private Fund Compliance Forum 2012. Excuse the typos and rambling nature. They are just my raw notes. Moderator: Karen Barr, General Counsel, Investment Adviser Association Panel Members: Jason E. Brown, Partner, Ropes & … Read more »
These are my notes from the “Best practices for addressing anti-corruption issues” session at the Private Fund Compliance Forum 2012. Moderator: Douglas N. Greenburg, Partner & Vice Chair of the Global Litigation Department, Latham & Watkins LLP Panel Members: Edina Cavalli, Director, Global Head of Private Equity and Principal Investments Compliance, Barclays Paul Golding, General Counsel, … Read more »
These are my notes from the “A view from the SEC” session at the Private Fund Compliance Forum 2012. This session will provide you with in-depth analysis of how the SEC is dealing with new registrants. SEC officials will answer your most pressing questions to help you ensure an efficient compliance program. Carlo V. di … Read more »
These are my notes from the “Post-registration update: Where are we now? ” session at the Private Fund Compliance Forum 2012. Moderator: Roman A. Bejger, Chief Compliance Officer, Providence Equity Partners L.L.C. Panel Members: Christian McGrath, General Counsel & Chief Compliance Officer, GTCR LLC Adam J. Reback, Chief Compliance Officer, J. Goldman & Co., L.P. David … Read more »
I’m attending Private Equity International’s Private Fund Compliance Forum. This is the third edition of forum. Last year focused on the steps leading up to registration with SEC as an investment adviser. This year, the forum is supposed to focus on what to expect in the first year of SEC registration and beyond. I’m part … Read more »
I attended Compliance Week’s annual conference in 2010 and 2009. It’s a great conference with lots of great people and great programs. But I’m not attending this year because I decided to spend by professional development budget on getting the Investment Adviser Certified Compliance Professional designation. If you want to go to Compliance Week 2012, … Read more »