Join our interactive workshop to delve into SEC & NFA enforcement trends, post-Private Fund Adviser Rule disclosure considerations, and co-investment best practices for institutional investors. We’ll also cover regulatory expectations on off-channel communications and trends in fee and expense terms.
Agenda:
08:30: Registration and Networking
09:00: Welcome Remarks
09:10: Introductions and Tour de table.
09:30: SEC & NFA enforcement trends: What are the key areas of focus and what should managers be concerned about?
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MLB to share their insights on the current key areas of regulatory focus
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Learning from the outcomes of recent enforcement actions
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Areas which managers need to address urgently
Stacie Hartman
10:00: Disclosure and transparency considerations in a post-Private Fund Adviser Rule world
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Hear how the vacated Private Fund Adviser Rule is leaving a lasting impact on manager and investor negotiations
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Have investor expectations changed?
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SBAI update on Standardised Total Expense Ratio (STER) template revamp
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Alignment of interests - Developments in fee and expense negotiation
Courtney Nowell
Christine Ayako Schleppegrell
10:30: Group Discussions
11:00: Coffee Break
11:15: Feedback Summary from the Discussion Groups
11:30: Exploring Co-Investments: key considerations for investors
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What investors want to negotiate
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What managers are willing to give
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Developments in negotiation of terms and conditions
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Key pitfalls to avoid
Christopher Dlutowski
Aaron Suh
12:15: SEC focus on off-channel communications: How can managers meet expectations?
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Requirements to preserve electronic communications
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How to adopt effective policies and procedures
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Expectations of compliance oversight and monitoring
Emily Renshaw
13:00: Lunch and Networking
13:45: Concluding Remarks
