SEC Expectations and Compliance Best Practices for Private Fund Advisers

During the last few months the SEC released a number of Risk Alerts, highlighting common deficiencies identified during private equity and hedge fund manager examinations. 

These Risk Alerts reinforces the SEC’s focus, and guidance, with respect to the importance of maintaining a robust regulatory compliance governance framework of private fund advisers. 

During this webinar, Duff & Phelps and MyComplianceOffice will share their experiences for firms wishing to comply with the SEC guidance and industry best practices. The agenda includes: 

  • Securities and Exchange Commission (SEC) - Introduction & Global Supervision
  • SEC Private Fund Supervision – Office of Compliance Inspections and Examinations (OCIE)
  • Overview of recent SEC OCIE Risk Alert for Hedge Fund/Private Equity
    • Conflicts of Interest
    • Fees and Expenses
    • Material Non-Public Information/Code of Ethics
  • How does this impact a global hedge fund/private equity firm in APAC? 

Q&A at the end of the session. 


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Patrick Klir
Senior Associate, Compliance and Regulatory Consulting

Patrick is a Senior Associate in the Compliance and Regulatory Consulting practice at Duff & Phelps, servicing clients across the Asia Pacific region. He works closely with clients on complex U.S. compliance and regulatory matters surrounding their business across various global locations. Patrick has in-depth experience with respect to the Investment Advisers Act of 1940, Investment Company Act of 1940, Commodity Exchange Act of 1936, Securities Exchange Act of 1934, Securities Act of 1933, Dodd-Frank Act, NFA Rules, FINRA Rules and MSRB Rules.

Patrick's experience spans former roles including serving as an Associate Examiner and Examiner for the Financial Industry Regulatory Authority (FINRA) in the Los Angeles District Office where he worked closely with the Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA) and other federal and state regulatory bodies while conducting Sales Practice Examinations of FINRA Member Firms across the United States.  

Pranavi Kapur
Senior Associate, Compliance and Regulatory Consulting

Pranavi is a Senior Associate in the Compliance and Regulatory Consulting practice at Duff & Phelps and is based in Hong Kong. She works closely with clients who are regulated with Hong Kong Securities and Futures Commission, US Securities and Exchange Commission and US National Futures Association providing advice during the regulatory licensing process, as well as on-going compliance support and specialized projects. An SFC and US regulatory expert, Pranavi works on projects across the regulatory spectrum including Registered Investment Advisors, Commodity Pool Operators, Anti-Money Laundering/Know-Your-Customer, Disclosures and Compliance requirements, Investor Suitability and Financial Crime as well as institutional governance and risk management frameworks. She has led the support of various Asia based managers during compliance examinations by the SEC and the NFA.

Prior to joining Duff & Phelps, Pranavi worked as an operational risk and Foreign Corrupt Practices Act specialist and consulted Fortune 500 companies on the adequacy of their internal control framework.

Aaron Weiss
Managing Director, Compliance and Regulatory Consulting

Aaron is a Managing Director within Duff & Phelps’ Compliance and Regulatory Consulting (CRC) division in Hong Kong and Singapore, where Aaron works closely with financial institutions, assisting them in meeting their regulatory, compliance and investor stakeholder requirements and expectations. 

Working with clients across Asia Pacific, Aaron has developed regulatory compliance expertise on behalf of Hong Kong, Singapore, Australia, US and other APAC clients. Aaron specializes in rules and regulations relating to the Hong Kong Securities and Futures Commission, US Securities and Exchange Commission, US National Futures Association as well as the Singapore Monetary Authority of Singapore, among others.

Aaron has previous experience with multiple in-house roles within Asia and the United States, with a focus on regulatory requirements and regulated activities, operational due diligence, licensing, internal compliance policies and procedures as well as regulatory inspections and actions.