Hedge Fund and Private Equity Enforcement & Regulatory Developments 2021 | Practising Law Institute (PLI) | 24 September 2021 | Practising Law Institute, 1177 6th Ave, New York, NY 10036, US

Why You Should Attend?
With a new administration and new leadership at the SEC, the private fund industry is bracing for renewed and rejuvenated regulatory and enforcement scrutiny. The increased deployment of capital to growing investment trends, such as digital assets, SPACs, structured products, and ESG investment strategies has drawn heightened government scrutiny. The agenda for this year’s Hedge Fund and Private Equity Enforcement & Regulatory Developments program will help private funds and their in-house and outside counsel prepare for the coming wave of government investigations and regulatory examinations. Panels will feature perspectives from senior government enforcement lawyers, prosecutors, and compliance examiners, together with experienced in-house general counsels and chief compliance officers, as well as expert outside counsel.

Our faculty of experts will deliver insights on the latest government priorities, first-hand experiences from the front lines, as well as strategies to deal with the evolving regulatory priorities and challenges. Attendees will not only gain a better understanding of what is actually going on in the industry but will also learn what they need to do now and what to anticipate in the coming months.

The program will also address the challenging ethical issues that frequently arise when overseeing the legal and compliance function or advising clients in the private fund sector, including the scope of the attorney-client privilege in the context of compliance, and managing the response to whistleblower complaints.

What You Will Learn:
• Discuss the Gensler Commission’s latest enforcement priorities
• Review the SEC Division of Examinations' focus on private funds
• Get up to date on government scrutiny of SPACs, sponsors and advisers
• Regulatory interest in ESG strategies, compliance and disclosures
• Compliance lessons learned from a year working remotely
• Learn about CFTC initiatives on cryptocurrencies
• Analyze the legal ethics rules that dictate how to act in highly volatile markets
• Social media and meme stocks – what are the legal and ethical issues?

Special Feature
• Ethics credit available

Who Should Attend?
Legal, finance, and compliance professionals operating in the hedge fund and private equity industries with an interest in enforcement, regulatory, and legislative priorities.

2021 Speaker

CHAIRPERSON:

Barry R. Goldsmith
Gibson, Dunn & Crutcher LLP

SPEAKERS:

Adam S. Aderton
U.S. Securities and Exchange Commission

Eric M. Albert
Chief Compliance Officer and Legal Counsel, Holocene Advisors, LP

Marc P. Berger
Simpson Thacher & Bartlett LLP

Susan E. Brune
Brune Law P.C.

Kenneth J. Burke
Vista Credit Partners Management, LLC

Robert A. Cohen
Davis Polk & Wardwell LLP

Stephen J. Crimmins
Murphy & McGonigle

Andrew B. David
Aristeia Capital L.L.C.

Marc E. Elovitz
Schulte Roth & Zabel LLP

Ranah L. Esmaili
Sidley Austin LLP

Kelly L. Gibson
U.S. Securities and Exchange Commission

Elizabeth P. Gray
Willkie Farr & Gallagher LLP

Andrea M. Griswold
U.S. Attorney’s Office, Southern District of New York

Ken C. Joseph
Duff & Phelps, LLC

Maurya C. Keating
U.S. Securities and Exchange Commission

Anthony S. Kelly
Dechert LLP

A. Kristina Littman
U.S. Securities and Exchange Commission

James M. McDonald
Sullivan & Cromwell LLP

Deborah R. Meshulam
DLA Piper LLP (US)

Joan E. McKown
Securities and Exchange Commission, Jones Day

Vincent A. McGonagle
Principal Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission

Igor Rozenblit
SEC, Iron Road Partners

Andre E. Owens
Wilmer Cutler Pickering Hale and Dorr LLP

Mark K. Schonfeld
Gibson, Dunn & Crutcher LLP

PROGRAM ATTORNEY:

Stephanie N. Figueroa
Practising Law Institute