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Preliminary Agenda*
Day One: Thursday December 1, 2011
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8:50 – 9:00
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PEI welcome & Chairman’s introduction |
9:00 – 9:50
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Defining the new regulatory landscape for private equity and venture capital firms
• Deciphering the impact of Dodd-Frank on private equity
• Update on Form PF, compensation and definition of accredited investors
• SEC requirements for exempt registered advisers
Moderator: Walter Zebrowski, JD, CPA, Senior Managing Director, Hedgemony Partners & Chairman, Regulatory Compliance Association
Panel Members:
Mary B. Kuusisto, Partner, Proskauer Rose LLP
Daniel Reid, Director, Financial Services Regulatory Practice, KPMG LLP
| 9:50 – 10:30
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Keynote Speaker: A view from the SEC
Marc J. Fagel, Regional Director, San Francisco Regional Office,
Securities and Exchange Commission
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10:30 – 10:50
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Networking Coffee Break |
10:50 – 11:40
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Expert panel: Brave new world - Impact of SEC registration on finance and operations
• Creating a culture of compliance
• Getting buy-in from the GPs and other key stakeholders
• What does it mean to take on the role of a Chief Compliance Officer?
• Defining the function for your organization
• Budgeting for staff, outside consultants, technology
• How are fund operations evolving in response to new regulations?
Moderator: Alan Halfenger, Chief Compliance Officer, Bain Capital
Panel Members:
David A. Haynes, Partner & COO, FTV Capital
David Reintjes, Chief Compliance Officer & Deputy General Counsel, TPG Capital, L.P
David A. Smolen, Chief Compliance Officer, Silver Lake
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| 11:40 – 12:30 | Panel: What does it take to be an effective chief compliance officer?
• Defining the skill sets and scope of responsibilities
• Handling conflicts of interest
• Enlisting help internally and externally
• Whose interests are you representing?
• Reporting line issues
• Who shares the role of the CCO?
• What level of sophistication performs the function?
Moderator: Helane L. Morrison, General Counsel & Chief Compliance Officer, Hall Capital Partners LLC
Panel Members:
Gwen Reinke, General Counsel and CCO, Blum Capital
Catherine Ziobro, Chief Compliance Officer, The Carlyle Group
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12:30 – 1:45
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Luncheon |
1:45 – 2:35
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Panel: For new SEC registrants – the first 12 months
• ADV I and II forms
• Formalizing code of ethics
• Custody rule compliance
Moderator: Sara Robinson, Partner & Chief Compliance Officer, Adams Street Partners
Panel Members:
Andrea E. Daly, General Counsel & Chief Compliance Officer, Onex Partners
Michael J. Harrington, President, First Republic Trust Company
William G. Mulligan, Jr., Managing Partner, CEO, HedgeOp Compliance
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| 2:35 – 3:30 |
Panel: Compliance Light – for VC and other exempt advisors
• Defining the compliance function and prioritizing the “must haves” vs. the “nice to have”
• What does the compliance manual need to look like
• Understanding general anti-fraud provisions
• Where’s the middle ground for the exempt reporting adviser?
Moderator: Steve Simonian, Chief Financial Officer, August Capital
Panel Members:
Karen Eliadis, Chief Financial Officer, BlueRun Ventures
Kirsten A. Mello, Chief Financial Officer, Menlo Ventures
Eric Thompson, Chief Financial Officer, Greenspring Associates
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| 3:30 – 3:50 |
Refreshments |
| 3:50 – 4:40 | Panel: Budgeting the compliance function
• Striking a balance - managing costs and having an effective compliance program
• How to budget for compliance
• Defining the needs of the organization
• Outsourcing and strategic use of consultants
• What if CCO isn’t your primary job function
Moderator: Jeff Cote, Chief Financial Officer, Pfingsten Partners, LLC
Panel Members:
Ric Fenton, General Counsel & Chief Compliance Officer, Technology Crossover Ventures
Tito Pombra, Chief Compliance Officer, Matthews International Capital Management
Stephen Marsh, Founder & CEO, Smarsh Inc.
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4:40 – 5:30
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Panel: Preparing for and surviving an SEC audit
• What are the hot buttons in an audit?
• Disclosure issues
• Top 10 deficiencies
• What to expect – soup to nuts
Moderator: Rob Stype, Managing Partner, ACA Compliance Group
Panel Members:
Martin Eng, CFO & VP of Administration, Western Technology Investment
Erin Ross, former General Counsel & Chief Compliance Officer, Watershed Asset Management
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| 5:30 – 7:00 |
Cocktail Reception and end of Day One
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| Day Two: Friday December 2, 2011 |
8:30 – 8:45
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Chairman's welcome
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8:45 – 9:35
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Panel: Global regulatory initiatives impacting private funds
• New initiatives on the horizon – amendments to EU Directive and raising capital outside from foreign investors
• FCPA and UK Bribery Act compliance
• Due diligence requirements and background checks on foreign portfolio company executives
Moderator: Jay B. Gould, Partner, Pillsbury Winthrop Shaw Pittman LLP
Panel Members:
Karen Eliadis, Chief Financial Officer, BlueRun Ventures
Alan Halfenger, Chief Compliance Officer, Bain Capital
David A. Smolen, Chief Compliance Officer, Silver Lake
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9:35 – 10:20
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Panel: New rules governing fundraising
• Presentation materials and being compliant
• Changing rules around use of placement agents
• State procurement lobbying laws and their effect on raising money from public pensions
• Monitoring your employees’ political contributions
Moderator: Jason E. Brown, Partner, Ropes & Gray LLP
Panel Members:
Kelly DePonte, Partner, Probitas Partners
Sheryl L. Rowold, Deputy General Counsel, Hellman & Friedman LLC
Jerald Sanchez, U.S. Chief Compliance Officer, Partners Group
| 10:20 – 10:40
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Coffee Break |
10:40 – 11:45
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Panel: Effective and appropriate marketing materials
• Interpreting rules governing marketing and advertising
• Making sure that presentations are reviewed by compliance
• Making sure your web sites are in compliance
• Guidelines regarding talking to the press
Moderator: Janis Kerns, Editor, ACA Insight
Panel Members:
Karl A. Cole-Frieman, Partner, Cole-Frieman & Mallon LLP
Jennifer Keese-Powell, Marketing Manager, Hall Capital Partners LLC
Jeffrey M. Mills, Principal, Oak Hill Capital Partners
Lois Towers, Compliance Officer, Pantheon Ventures (US)
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11:45 – 1:30
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Closing Buffet Luncheon |
* This is a provisional agenda and remains subject to change at the discretion of the organizers.
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