Date: August 12, 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.
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.
- Marc B. Minor, Senior Counsel, Thompson Hine (moderator)
- Salvatore Faia, Founder and President, Vigilant Compliance LLC
- Craig Moreshead, Managing Director, Foreside
- Ryan Wheeler, Associate, Thompson Hine
Wednesday, August 26 – It’s a New Day: Fees & Expenses and Codes of Ethics
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.
- Richard S. Heller, Partner, Thompson Hine (moderator)
- Marc B. Minor, Senior Counsel, Thompson Hine
- Josh Lefcowitz, Partner, Cohen & Company
Both sessions will run from 11 a.m. to noon ET. CLE credit has been requested.