Registered Adviser Seminar & CCO Summit

San Francisco - October 28, 2014

Chicago - November 4, 2014

New York - November 12, 2014

After over two years of private fund managers registering as investment advisers with the SEC, firms must be familiar with the evolving regulatory environment. This seminar is designed specifically for private fund manager CCOs, general counsel and other senior executives.

Seminar topics will include:

• Market and fundraising developments

• Practical tips for RIAs to private funds — operating in today's regulated environment

• SEC examination trends — lessons learned

• SEC private equity manager enforcement initiatives — avoiding problems

• Regulatory developments on custody, transaction and other fees, and CFTC exemptions

• AIFM Directive update

Speakers will include:

• Investment Management — Scott A. Moehrke, P.C., Lisa Cawley, Robert H. Sutton, Josh Westerholm

• Private Funds — Bruce I. Ettelson, P.C., Chris P. Kallos, P.C., Sarah E. Kirson, P.C., John R. O'Neil, P.C.

• SEC Enforcement — Robert Khuzami, Charles J. Clark