Ropes & Gray Asset Management Partners to Moderate at 2017 Private Fund Compliance Forum

May 9, 2017

On Tuesday, May 9, Ropes & Gray asset management partners Jason Brown (private investment funds, Boston), and Joel Wattenbarger (hedge funds, New York) will moderate at the 2017 Private Fund Compliance Forum, to be held at the Convene Conference Center, in New York City.

Mr. Wattenbarger will moderate the panel titled “Implementing a robust process to mitigate and resolve conflicts of interest,” which will discuss:

  • Methods to adequately address and manage personal and business conflicts
  • Structuring your business to avoid any conflicts with clients
  • Getting employees to disclose certain conflicts
  • Viewing fees and expenses as a conflict of interest globally
  • When is the ideal time to perform a conflicts check?
  • Providing training on conflict identification and what should be escalated

Mr. Brown will moderate the panel titled “Preparing to interface with the SEC during an examination” which will cover:

  • Taking a closer look at the exam process and approximate length of the exam
  • Is the SEC focusing on areas outside of the Advisers Act?
  • Enforcement actions in the pipeline related to expenses or co-investment
  • Current trend: questions about political contributions
  • Decision points on where and when you could/should invoke privilege
  • Are firms doing independent expense allocation reviews?

Ropes & Gray is proud to be a lead sponsor of the event.