Webinar Series for Private Funds – It's a New Day: Conflicts, Part II

Date: August 12, 2020

Time: 11:00 a.m. - 12:00 p.m. ET

Contact: Elise Hoffer, 513.352.6748,

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.

Wednesday, August 12 – It’s a New Day: Conflicts, Part II – 
Register now

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.

Wednesday, August 26 – It’s a New Day: Fees & Expenses and Codes of Ethics – Register now

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.

Both sessions will run from 11 a.m. to noon ET. CLE credit has been requested.

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