Asset Management Partners to Speak at IAA Compliance Conference in Washington D.C.

March 8, 2024

On March 8, asset management partners Jason Brown and James Thomas will speak at the Investment Adviser Association Compliance Conference in Washington D.C.

Jason will moderate a panel titled, “Private Equity Fund Advisers: Hot Topics in SEC Examinations.” The panel will examine top examination areas for private equity fund advisers, including calculation and allocation of fees and expenses, contractual obligations and disclosure, portfolio management and fiduciary duty considerations, and valuation practices. Joining Jason on the panel will be Letti de Little, Chief Compliance Officer at Grain Management, Christopher Mulligan, Investment Adviser/Private Funds Senior Advisor at the Securities and Exchange Commission Division of Examinations, and Sean Murphy, Senior Vice President, Chief Compliance Officer at EIG Partners.

James will moderate a session titled, “Use of AI in Investing and Compliance.” The session will focus on the role that human input continues to play in ensuring desired outcomes and cautions to bear in mind with AI’s use across the industry. Joining James for this session will be Max Gokhman, CFA, Head of MosaiQ Investment Strategy at Franklin Templeton Investment Solutions.

To learn more about the event and to register, please click here.