See Credit Details Below
Overview
Why You Should Attend
Updated to reflect the current regulatory developments encountered by attorneys working with hedge and private equity funds, this year’s program will help attendees prepare strategies for navigating the enhanced risk of government investigations and leverage the insights from lessons learned by those on the front line of compliance.
Our faculty of experts will share their insights on the latest government priorities and will provide tangible guidance for dealing with the evolving regulatory landscape. Discussions will take an in-depth look at current enforcement priorities, cryptocurrency issues for private funds, and the evolving issues in regulatory reporting, disclosure, and registration obligations for private funds. The program will also address the challenging legal ethics issues that frequently arise when overseeing the legal and compliance function, or advising clients in the private fund sector.
What You Will Learn
After completing this program, participants will be able to:
- Better understand the SEC’s focus on trading, valuation, disclosure, fees, and conflicts of interest
- Establish a compliance program for hedge funds and private equity funds that best addresses the current market
- Anticipate issues of risk during an examination
- Gain insight into the heightened prosecutorial emphasis on private funds
Who Should Attend
Attorneys and compliance professionals practicing in the hedge fund and private equity industries.
Program Level: Overview
Prerequisites: None
Advanced Preparation: None
Lecture Topics [Total time 00:06:45]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Opening Remarks* [00:11:38]
Mark K. Schonfeld - Current Hedge and Private Fund Enforcement Priorities – The Enforcer’s Perspective [00:56:13]
Andrea M. Griswold, Antonia M. Apps, Ian McGinley, Mark K. Schonfeld - SEC Inspections and Examinations of Private Equity and Hedge Funds [00:57:43]
Maurya C. Keating, Ken C. Joseph, Ranah L. Esmaili, Marc E.. Elovitz - Emerging SEC Issues in Regulatory Oversight of Private Funds [00:58:35]
Michael J. Osnato, Jr., Kelly L. Gibson, Andrew Dean, Bruce Karpati - Cryptocurrency Issues for Private Funds [01:00:37]
Daniel Michael, Robert A. Cohen, Haimavathi V. Marlier, Ladan F. Stewart - Establishing an Effective Hedge and Private Fund Compliance Program [00:58:56]
Igor Rozenblit, Tina Samanta, James M. McGovern, Helene Glotzer - Thorny Hedge Fund Hypotheticals – Ethics Issues [01:02:43]
Andre E. Owens, Susan E. Brune, Stephen J Crimmins, Andrew B. David
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- Commodity Futures Trading Commission, 2022–2026 Strategic Plan
Mark K. Schonfeld - Commodity Futures Trading Commission, Division of Enforcement, Enforcement Manual (May 20, 2020)
Mark K. Schonfeld - Complete Course Handbook
- U.S. Securities and Exchange Commission, Press Release, SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency (June 6, 2023)
Mark K. Schonfeld - Sidley Austin, SEC Examination Trends Report
Ranah L. Esmaili - Sidley Austin, Sidley Update, SEC Division of Exams Announces 2023 Examination Priorities (March 29, 2023)
Ranah L. Esmaili - U.S. Securities and Exchange Commission, Division of Examinations, Press Release, SEC Division of Examinations Announces 2023 Priorities (February 7, 2023)
Mark K. Schonfeld - U.S. Securities and Exchange Commission, Division of Examination, 2023 Examination Priorities Report (February 7, 2023)
Mark K. Schonfeld - Morgan Lewis, Report, Current Developments in SEC Examinations & Enforcement: A Special Report for Private Funds 2022–2023
Kelly L. Gibson - U.S. Securities and Exchange Commission, Press Release, SEC Adopts Amendments to Enhance Private Fund Reporting (May 3, 2023)
Mark K. Schonfeld - The Future of Digital Assets: Identifying the Regulatory Gaps in Spot Market Regulation, Written Statement of Joseph A. Hall Before the United States House of Representatives, Committee on Agriculture, Subcommittee on Commodity Markets, Digital Assets, and Rural Development (April 27, 2023)
Robert A. Cohen - “The Future of Digital Assets: Identifying the Regulatory Gaps in Digital Asset Market Structure,” Written Statement of Zachary J. Zweihorn Before the U.S. House Financial Services Committee, Subcommittee on Digital Assets, Financial Technology, and Inclusion (April 27, 2023)
Robert A. Cohen - Putting the ‘Stable’ in ‘Stablecoins’: How Legislation Will Help Stablecoins Achieve Their Promise, Written Statement of David L. Portilla Before the United States House of Representatives, Financial Services Committee, Subcommittee on Digital Assets, Financial Technology and Inclusion (May 18, 2023)
Robert A. Cohen - U.S. Securities and Exchange Commission, Press Release, SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao (June 5, 2023)
Mark K. Schonfeld - Stuart Levi, Alex Drylewski, and Daniel Michael, Skadden, Arps, Meagher & Flom LLP, Drawing Lines in a Borderless World: Applying Morrison to Crypto (June 6, 2023)
Daniel Michael - Gibson Dunn, 2022 Year-End Securities Enforcement Update (February 2, 2023)
Mark K. Schonfeld - “Shadow Trading” Becomes Insider Trading, The CLS Blue Sky Blog, Columbia Law School’s Blog on Corporations and the Capital Markets (March 28, 2022), available at: https://clsbluesky.law.columbia.edu/2022/03/28/shadowtrading-becomes-insider-trading/
Stephen J. Crimmins - Ethical Issues Relating to Securities Lawyers—All Signs Point to More Enforcement Actions Against Lawyers (April 14, 2023)
Ellen M. Wheeler
Presentation Material
- Current Hedge and Private Fund Enforcement Priorities – The Enforcer’s Perspective
Antonia M. Apps, Andrea M. Griswold, Ian McGinley, Mark K. Schonfeld - SEC Inspections and Examinations of Private Equity and Hedge Funds
Marc E.. Elovitz, Ranah L. Esmaili, Ken C. Joseph, Maurya C. Keating
Updated to reflect the current regulatory developments encountered by attorneys working with hedge and private equity funds, this year’s program will help attendees prepare strategies for navigating the enhanced risk of government investigations and leverage the insights from lessons learned by those on the front line of compliance.
Our faculty of experts will share their insights on the latest government priorities and will provide tangible guidance for dealing with the evolving regulatory landscape. Discussions will take an in-depth look at current enforcement priorities, cryptocurrency issues for private funds, and the evolving issues in regulatory reporting, disclosure, and registration obligations for private funds. The program will also address the challenging legal ethics issues that frequently arise when overseeing the legal and compliance function, or advising clients in the private fund sector.
What You Will Learn
After completing this program, participants will be able to:
- Better understand the SEC’s focus on trading, valuation, disclosure, fees, and conflicts of interest
- Establish a compliance program for hedge funds and private equity funds that best addresses the current market
- Anticipate issues of risk during an examination
- Gain insight into the heightened prosecutorial emphasis on private funds
Program Level: Overview
Prerequisites: None
Advanced Preparation: None