We invite you to join us for a complimentary mini-seminar to learn how the new SEC Private Fund Adviser Rules may impact your firm and private funds so you can get a head start on preparing for compliance.
The Securities and Exchange Commission’s (SEC), Office of the Investor Advocate, “Report on Objectives” focuses on private fund adviser regulation. The SEC adopted new rules, effective November 13, 2023, requiring implementation varying from 60 days to 12 to 18 months.
This live, interactive seminar will provide insight into the rules and how to organize your business to achieve compliance.
Registration is limited. Please RSVP by Thursday, May 30th.
Key Learning Objectives:- Discover what the “Quarterly Statements Rule” requires and when it needs to be implemented.
- Discuss who is subject to the mandatory “Private Fund Adviser Audit Rule.”
- Determine if you are in compliance with the “Restricted Activities Rule.”
- Learn what you need to do for the “Adviser-Led Secondaries Sale Rule.”
- Determine if you are in compliance with the “Preferential Treatment Rule” and certain “Adviser Misconduct Rules.”
Who Should Attend:
Private equity and hedge fund investors and executives, GPs, business owners, CEOs, Chief Investment Officers (CIOs), Chief Financial Officers (CFOs), treasurers, controllers, Chief Compliance Officers (CCOs), registered investment advisers (RIAs), bankers, prime brokers, general counsel and M&A, fund formation and private fund attorneys.
Host:
Eric P. Gelb, CPA, Senior Managing Director, Financial Services – Outsourced CFO and Business Development
Featured Speakers:
Victor M. Peña, CPA, CGMA, Partner, Financial Services Attest
Michael A. Provini, CPA, Partner, Financial Services Attest
Michael Stellwagen, CPA, Partner, Financial Services – Outsourcing, including CFO and Fund Administration
CPE Credit:
1 CPE credit in General Knowledge
No prerequisites or advanced planning required
Program Level: Intermediate
Delivery Method: Live Seminar
For information regarding complaint and/or program cancellation policies, please contact l&dsupport@pkfod.com.
PKF O’Connor Davies is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State Boards of Accountancy have the final authority on the acceptance of individual courses for CPE Credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.