2016 Registered Adviser Seminar & CCO Summit

Chicago - October 25, 2016

Los Angeles, November 2, 2016

San Francisco - November 10, 2016

New York - November 16, 2016

Houston - December 7, 2016

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 private fund managers operating in today's regulated environment

• SEC enforcement developments for private fund managers

• What to expect in, and how to manage, an SEC examination

• Update on transaction fees/broker-dealer registration developments

• Legislative and regulatory developments regarding Form ADV, incentive compensation, state fee and expense disclosure requirements, pay-to-play, business continuity, third party compliance reviews, cybersecurity, AML and other matters

• AIFM Directive and Brexit update

Speakers will include:

• Norm Champ, P.C.

• Matt Cohen

• Kevin R. Bettsteller

• Robert W. Pommer

• Josh Westerholm

• Scott A. Moehrke, P.C.

• Matthew Nadworny

• Aaron Schlaphoff

• Robert H. Sutton

• Jamie Lynn Walter

• Jeff Kaplan, P.C.