PLI's Hedge Fund and Private Equity Enforcement & Regulatory Developments 2021


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 at PLI's Hedge Fund and Private Equity Enforcement & Regulatory Developments 2021 virtual conference.

With a new administration and new leadership of the SEC, the private fund industry is bracing for renewed and rejuvenated regulatory and enforcement scrutiny. The increased deployment of capital to growing investment trends, such as digital assets, SPACs, structured products, and ESG investment strategies has drawn heightened government scrutiny. The agenda for this conference will help private funds and their in-house and outside counsel prepare for the coming wave of government investigations and regulatory examinations. Panels will feature perspectives from senior government enforcement lawyers, prosecutors and compliance examiners, together with experienced in-house general counsel and chief compliance officers, as well as experienced outside counsel.

PLI's faculty will deliver insights on the latest government priorities, first-hand experiences from the front lines, as well as strategies to deal with the evolving regulatory priorities and challenges. Attendees will not only gain a better understanding of what is actually going on in the industry but will also learn what they need to do now and what to anticipate in the coming months.

The program will also address the challenging ethical issues that frequently arise when overseeing the legal and compliance function or advising clients in the private fund sector, including the scope of the attorney-client privilege in the context of compliance and managing the response to whistleblower complaints.

Attendees will learn about:

  • The Gensler Commission's latest enforcement priorities
  • The SEC Division of Examinations' focus on private funds
  • Government scrutiny of SPACs, sponsors and advisers
  • Regulatory interest in ESG strategies, compliance and disclosures
  • Compliance lessons from a year working remotely
  • CFTC initiatives on cryptocurrencies
  • The legal ethics rules that dictate how to act in highly volatile markets
  • The legal and ethical issues surrounding social media and meme stocks

Ethics credit is available.


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