Tag: PEI’s Private Fund Compliance Forum 2014

These are my live notes from PEI’s Private Fund Compliance Forum. They are likely to be incoherent and full of typos. Expert networks. The risk in using them came to the surface in 2010 when an insider trading case came out with and expert network involved in the distribution of information. Law enforcement has come … Read more »

These are my live notes from PEI’s Private Fund Compliance Forum. They are likely to be incoherent and full of typos. Panel Member: Jason Mulvihill, General Counsel, Private Equity Growth Capital Council Joel Wattenbarger, Partner, Ropes and Gray A bill has passed the House that would exempt private equity fund advisers from registration. It’s unlikely … Read more »

These are my notes, live from the conference. One of the best tests is a mock exam. See how you stand up to simulated fire. It’s a good practice to see how people respond under the interview process from a regulator (or mock regulator). How often should you do a third party review? Annually is … Read more »

These are my notes, live from the conference. Please excuse a more numerous supply of typos. Drew Bowden, the Director of the SEC’s Office of Compliance Inspections and Examinations (These are his views and not necessarily the views of the SEC. His speech is posted on the SEC website: Spreading Sunshine in Private Equity.) He … Read more »

These are my notes from this session at PEI’s Private Fund Compliance Forum. The SEC is developing an approach of zero tolerance for non-compliance. Private funds are challenging because there are some that have been registered fro many years and many that have only been registered for two years. The SEC is learning more about … Read more »