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
