Hosted by Private Funds CFO and Regulatory Compliance Watch
Click here to register for the upcoming April 13 webinar.
The SEC’s new leaders have made it clear they are coming for private funds, and they expect all investment advisers and broker-dealers to build – and support –robust compliance programs.
Regulators are already examining on this issue. And firms face everything from deficiency notices to enforcement actions, so the time is now to shore up your compliance programs.
Sign up for FREE and earn 1 CLE credit. You will learn how to:
- Spot warning signs that your staff isn’t comfortable disclosing potential problems
- Avoid common mistakes that firms make when confronted with potential wrongdoing
- Develop a safe, secure—and accurate—whistleblower infrastructure
- Not only manage risk, but learn ways to preempt it
- And much more
Please join Private Funds CFO and sister publication Regulatory Compliance Watch, for an insightful discussion featuring two industry experts.
Jordan A Thomas, Partner, Labaton Sucharow, Washington, DC
Thomas is a partner in Labaton Sucharow’s Washington, DC office. A principal architect of the SEC’s whistleblower program, he rose to become assistant director at the Commission before creating one of the first private practices dedicated solely to federal securities law whistleblowers. He helped his clients win a record $83 million SEC whistleblower award for their role in exposing misconduct at Merrill Lynch.
Kurt Wolfe, Associate, Troutman Pepper, Richmond, VA
Wolfe has been a white-collar defense counsel for more than two decades. A graduate of the London School of Economics, he has helped private fund clients navigate SEC and state enforcement actions at every level. He currently works for Troutman Pepper based in Richmond, VA.