Private Fund Regulatory Developments and Compliance Challenges 2019

January 31, 2019 | (Conference)
PLI New York Center, New York, NY , Countries

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

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