PLI's Hedge Fund and Private Equity Enforcement & Regulatory Developments 2020

In response to the recent impact of COVID-19 on the market and government investigations, Practising Law Institute (PLI) has created an all-new agenda for this year’s Hedge Fund and Private Equity Enforcement & Regulatory Developments program. Leading regulatory perspectives will be brought together with in-house and firm counsel to deliver a comprehensive review of the truly unprecedented events of 2020, its practical takeaways, and what may be on the horizon for the industry. Attendees will not only gain a better understanding of what is actually going on but will learn what they need to do now and what to anticipate in the near future.

Joan McKown, a Securities Litigation & SEC Enforcement partner resident in the Firm's Washington Office, will speak on ethical issues pertaining to various hedge fund hypotheticals.

The agenda has been entirely updated to address the current hedge and private fund enforcement priorities and the impact of the coronavirus pandemic on government investigations. The program faculty will highlight the notable trends and developments impacting the hedge fund and private equity industry. Experts will draw from their lessons from the 2008 financial crisis and share how they translate to the COVID-19 crisis.

The program will also address emerging technology and the ethical issues that will trigger regulatory reach when dealing with cryptocurrencies. Ethics issues such as short selling during volatile and crisis-related markets, and how to handle whistleblower complaints in the current environment will also be analyzed.

What You Will Learn

  • Current SEC, CFTC and other government hedge fund and private equity enforcement and examination priorities
  • NYAG COVID-related enforcement trends involving private funds
  • SEC’s National Exam Program and Private Funds Unit – conducting exams in the COVID environment
  • How to establish an effective compliance program when returning to work in a COVID environment
  • When whistleblowers surface – Handling employee complaints during the COVID crisis
  • Understand the ethical traps of political expert networks in the COVID environment
  • Regulatory issues confronting cryptocurrencies
  • A thorough analysis of COVID-19 impact on fund regulation and developments.

Ethics credit available

Who Should Attend

Legal, finance, and compliance professionals operating in the hedge fund and private equity industries should find this program informative.


Registration for this event is required. For CLE credit information and to register, visit the Practising Law Institute event website.