2015 Registered Adviser Seminar & CCO Summit

New York - October 29, 2015

Chicago - November 3, 2015

San Francisco - November 11, 2015

Los Angeles, December 2, 2015

As the SEC continues its focus on private fund managers registered as investment advisers, 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 focus areas for private equity managers and recent exam experiences

• Developments in CCO liability

• Regulatory developments regarding conflicts, co-investments, operating partners, political contributions, marketing materials, cybersecurity, fund restructurings and secondaries, broker-dealer issues, custody, whistleblowers and other matters

• SEC rulemaking for private fund RIAs

• SEC enforcement update

• AIFM Directive update

Speakers will include:

• Investment Management — Scott A. Moehrke, P.C., Lisa Cawley, Kevin R. Bettsteller, Robert H. Sutton, Josh Westerholm, Corey Zarse, Prem Mohan

• Private Funds — Robert Blaustein, Chris P. Kallos, P.C., Sarah E. Kirson, P.C.

• SEC Enforcement — Kenneth R. Lench, Robert Pommer