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Past Event
19 September 2012

The Art of Successful Negotiation with Regulators™

The new registration requirements under Dodd-Frank have caused a 52% increase in the number Private Fund Managers registered with the SEC – hence, a full 1/3rd of RIAs manage a Private Fund. Additionally, the SEC projects that 48 of the 50 largest hedge fund advisers have registered with the Commission.

The forging increases coupled with the broad reach of private funds, and the rapidly changing environment – require the SEC to obtain a much greater understanding of the operational complexities and unique risks posed by private fund advisers.

Historically, the SEC has employed the Inspections and Examination process to acquire a better understanding of investment philosophies, processes and techniques, conflicts of interest, information flow, counterparty relationships, trading, execution, valuation and marketing.

Consequently, hedge fund managers, private equity firms and other alternative investment managers should expect to remain in the cross hairs of SEC Examinations for the foreseeable future.

Mayer Brown partner, Rory Cohen, will moderate a panel of the RCA’s JD and Masters Concentration faculty and others such as Walter Zebrowski, Sr. Managing Director at Hedgemony Partners and Chairman of the Regulatory Compliance Association.

Topics to be discussed include:

  • A Comprehensive Discussion and Analysis of the New “Risk-Focused” Examination Approach and Process
  • The Difference in Examination Process between Private Funds Managers vs. Traditional Investment Advisers
  • New Risk Analytics For Private Fund Managers
  • The SEC Examination Priorities Geared Toward Private Fund Managers
  • Recent Enforcement trends and OCIE Examinations
  • Action items for compliance procedures in preparation of an examination?
  • Unique considerations for hedge fund managers, private equity firms, real estate managers and other types of managers

Date, Time & Location
September 19th, 2012
General Session: 12 Noon to 1:00 PM ET
Bonus Session: 1:00 PM – 1:30 PM ET

For more information about this event, including a full agenda, or to register, please use the Register button below.

If you have questions, please contact Michelle DeAndrea at +1 312 701 8374 or .

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