Date: July 29, 2020
Time: 11:00 a.m. - 12:00 p.m. ET
Contact: Elise Hoffer, 513.352.6748 - Elise.Hoffer@ThompsonHine.com
Presented by Thompson Hine’s Investment Management Practice Group
The SEC’s Office of Compliance Inspections and Examinations has highlighted the top three areas in which examinations of private fund advisers identify deficiencies: Conflicts, Fees and Expenses, and Codes of Ethics. Please join us for a series of informative webinars featuring industry experts who will examine the compliance issues identified in OCIE’s recent risk alerts and share best practices. Understanding and adequately responding to these concerns is essential to assuring funds remain in compliance with federal securities laws and avoid regulatory action by the SEC.
This program will focus on conflicts of interest related to multiple clients investing in the same portfolio company; financial relationships between investors or clients and the adviser; and the allocation of co-investment opportunities. Our panelists will include:
- Marc B. Minor, Senior Counsel, Thompson Hine (moderator)
- Todd Cipperman, Principal, Cipperman Compliance Services
- Cassandra W. Borchers, Partner, Thompson Hine
Wednesday, August 12 – It’s a New Day: Conflicts, Part II – Register now
In this session we’ll take a deep dive into inadequate disclosures, violations and failures to communicate related to conflicts of interest in handling preferential liquidity rights; affiliated service providers; fund restructurings; and cross-transactions.
Wednesday, August 26 – It’s a New Day: Fees & Expenses and Codes of Ethics – Register now
Our final program will focus on compliance deficiencies related to the allocation of shared expenses; permissible expenses by law or contract; the role and compensation of operating partners; valuation processes; monitoring of portfolio company fees; and funds’ failures to follow their own codes of ethics.
All sessions will run from 11 a.m. to noon ET.