Date: July 29, 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.
This program will focus on conflicts of interest related to multiple clients investing in the same portfolio company; financial relationships between investors or clients and the adviser; and the allocation of co-investment opportunities. Our panelists will include:
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.
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.
All sessions will run from 11 a.m. to noon ET.
You must agree to Thompson Hine's terms and conditions set forth in the disclaimer below before submitting any email to us:
This website provides general information about Thompson Hine LLP for the convenience of visitors to the site. The site and the content within it are not intended to establish and their use does not establish an attorney/client relationship between Thompson Hine and any visitor. Information on the website is not legal advice. Do not send confidential information to any of our lawyers without first obtaining specific authorization. This website includes photographs of our lawyers and staff. Some of the design images and photographs on our website may be of actors depicting fictional scenes. Statements on this website of prior results do not guarantee a similar outcome.
This website may be considered attorney advertising in some jurisdictions.