Date: August 26, 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.
Our final program in this series 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)
- Josh Lefcowitz, Partner, Cohen & Company
- Andrew Jones, SVP & Director of Client Services, Ultimus LeverPoint
- Michael Napoli, Director, Fund Team, Ultimus LeverPoint
- Marc B. Minor, Senior Counsel, Thompson Hine
CLE credit has been requested.