In this CLE course, a panel of thought leaders and professionals organized by The Knowledge Group will provide the audience with an overview of the latest and remarkable issues of this significant topic. The panel aims to help the audience understand the hot topics for private fund managers. The panel will also offer notable insights regarding best practices for specific areas of concern, exam preparation and survival.

Dorsey Of Counsel Genna Garver's segment will focus on Custody Rule 206(4)-2, Proposed Changes to Form ADV, and Proposed Amendments to Investment Advisers Act Rules.

Key topics include:

  • The SEC’s 2015 Examination Priorities – An Update
  • “Market-Wide Risks” Issues, including cybersecurity
  • Use of Data Analytics in Illegal Activities Identification
  • Specific Private Fund Exam Priorities:
    • Lack of transparency, allocation of fees and hidden expenses
    • Valuation and marketing, including improper performance advertising and past specific recommendations
    • Conflicts (trade allocations, side-by-side management, principal transactions)
    • Custody
    • Transition planning


  • Genna Garver, Of Counsel, Dorsey & Whitney LLP
  • Jonathan B. Levy, Partner, Lindquist & Vennum LLP
  • Linda Smith, Managing Director, SEC Compliance Consultants, Inc.

For additional information about this event, click here.