Effective strategies for fine-tuning compliance programs in an increasingly complex private equity environment

 

Earn CLE & CPE credits

New for this year, CLE credits are now available! In addition to CPE, PEI is pleased to offer our attendees continuing legal education credits.

Gain actionable tools & strategies

Acquire tips and tricks for structuring and running an effective compliance program from experienced CCOs, General Counsels and the SEC.

Connect with your peers

This unique event affords compliance professionals the opportunity to exchange ideas, benchmark strategies and learn how to handle current trends impacting the industry.

Agenda highlights

 

» Considerations for private fund compliance managers in the new administration

» Lessons learned in managing risk during COVID-19

» Procedures for diversity and ESG impelemtnation

» What you need to know about the new marketing rule

» The proposed HSR rule changes

» CCO and CFO and COO and…small(er) firm compliance challenges

» CCO/GC Think-Tank

Feature speakers include

Jacob Comer
General Counsel and Chief Compliance Officer
NovaQuest Capital Management

Jacqueline Giammarco

Jacqueline Giammarco
Managing Director and Chief Compliance Officer
Stone Point Capital

Jason Scoffield
Chief Compliance Officer
Audax Group

David Smolen
Managing Director, General Counsel & Chief Compliance Officer
GI Partners

Previous attendees included:

ACON Investments
Alinda Capital Partners
Altpoint Capital Partners
Brookfield Asset Management
Bank of America
BC Partners
Calvert Street Capital Partners
CapitalSpring
Cathay Capital Private Equity
Certares
Declaration Partners
EIG Global Energy Partners
Equity International
General Atlantic
GI Partners
Kainos Capital
KKR
Lightyear Capital
LS Power
Palladium Equity Partners
Presidio Investors
Stepstone Group
Stone Point Capital
TowerBrook Capital Partners
Warburg Pincus
Whitehorse Liquidity Partners

What our attendees say about the Forum

PCCP

Gabriel Willey

This is the most informative of the conferences I do every year

Leerink Capital Partners

Liz Staley

One of my go to events each year due to the timely program content and excellent panelists.

Omega Funds

Mark Russell

Excellent event, with all topics being highly relevant

Earn CLE & CPE credits

PEI is registered with the National Association of State Boards of Accountancy
(NASBA) as a sponsor of continuing professional education on the National Registry
of CPE Sponsors. State boards of accountancy have final authority on the acceptance
of individual courses for CPE credit. Complaints regarding registered sponsors may
be addressed to the National Registry of CPE Sponsors through its website: www.
NASBARegistry.org.

Subject to change from the event oragnizers

2021 Preliminary agenda

If you are interested in a speaking role at the 2021 virtual Forum, please contact Kellie Green at kellie.g@peimedia.com.

Day 1 Day 2
View agenda page

Agenda

Day 1 - Wednesday 12th

Plenary sessions
11:00 - 11:25

PEI welcome

11:25 - 12:00

Opening Keynote Interview | Risk alert: conflicts of interest, fees and expenses, & code of ethics rules

12:00 - 12:50

Panel Discussion | Biden administration: considerations for private fund compliance managers

12:50 - 13:10

Networking break

Breakout session I
13:10 - 13:45

Breakout session A | COVID 19: lessons learned in managing risk

13:10 - 13:45

Breakout session B | Diversity & ESG: compliance procedures for implementation & oversight

Plenary session
13:45 - 14:45

Lunch networking break

14:45 - 15:35

Panel Discussion | Cybersecurity: key considerations for a remote workforce & mitigating the impact of a cyber event

Breakout session II
15:35 - 16:10

Breakout session A | Advertising & solicitation: what you need to know about the new marketing rule for investment advisers

15:35 - 16:10

Breakout session B | Fund obligation management: strategies for streamlining operations

Interactive networking break
16:10 - 16:30

Networking break

Think Tank Session
16:30 - 17:30

CCO & GC Only Think Tank Session

Closed-door session to meet with peers in the industry to discuss the most pressing challenges having an impact on their role and responsibilities

17:30 - 18:00

Close of day one

Agenda

Day 2 - Thursday 13th

Plenary sessions
10:45 - 11:20

Women's Networking Roundtable

11:20 - 11:45

PEI welcome

11:45 - 12:20

Opening keynote

12:20 - 12:40

Networking break

Breakout session III
12:40 - 13:15

Breakout session A | Conditional exemption for finders: the potential impact

12:40 - 13:15

Breakout session B | Key antitrust issues for private equity: proposed HSR rule changes

13:15 - 14:15

Networking lunch break

Breakout session IV
14:15 - 14:45

Breakout session A | The CCO/CFO/COO: unique challenges for those wearing many hats

14:15 - 14:45

Breakout session B | Moving from single to multiple strategies: cost-efficient approaches for dealing with the expanding compliance function

14:45 - 15:00

Close of day two

2021 sponsors

PEI’s Private Fund Compliance Spring Forum events offer a unique opportunity for providers to engage and connect with senior compliance professionals in the private equity sector through thought leadership, networking, and more.

For exclusive sponsorship packages for 2021, contact Cristiana Crocco at cristiana.c@peimedia.com call +1 646 921 0923.

Satisfy your continuing education credit requirements

New for this year, attendees can now fulfill their CLE credit requirements in addition to CPE credits!

PEI is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Pre-Event Resources

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2021 Preliminary agenda

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2020 Brochure