The SEC has issued a plethora of regulatory updates and proposals over the past year. While the industry awaits the outcome of a legal battle over implications of some of the legislative moves, hedge funds begin to dig into the impact of some of these regulations, including:
- The Form PF amends which went into effect in December 2023; do any queries remain? How have managers found implementing these changes?
- The new Private Fund Rules - timeline on implementation, best practice in terms of applying the changes to reporting requirements
- Changes to the Advisors Act made in August 2023 – how these have been implemented, and whether any new challenges have arisen
- Overview of the SEC’s exam priorities including portfolio management risks, marketing practices and form ADV, compliance with performance disclosures and third-party ratings among others
- Tips for interacting with regulators – what do they want to see? What and how should managers be presenting?
Moderator:
- Thomas E. Redburn Jr., Partner; Chair, Securities Litigation, Lowenstein Sandler LLP
Speakers:
- Brendan Kalb, Global General Counsel, ExodusPoint Capital Management
- Michael Kitson, Deputy CCO & Counsel, Bridgewater Associates
- James Hourihane, Compliance Manager, NFA
- Solomon Kuckelman, General Counsel, Americas & APAC, Man Group
Time: 2 p.m. ET
Location: 290 Old Montauk Hwy, Montauk, NY 11954
