Careers

Diversity, Equity & Inclusion

Experience

Innovation

Interactive Maps

Locations

About

Pages

Meet our team of innovators
Ask us how we do it

Professionals

Insights

Services

Home | Thompson Hine LLP

Atlanta

Chicago

Cincinnati

Cleveland

Columbus

Dayton

Los Angeles (As of 7.1.24)

New York

Washington, D.C.

core/separator

Date: August 26, 2020 Time: 11:00 a.m. - 12:00 p.m. ET Contact: Elise Hoffer, 513.352.6748 -&nbsp;<a href="mailto:Elise.Hoffer@ThompsonHine.com">Elise.Hoffer@ThompsonHine.com</a>

core/paragraph

Presented by Thompson&nbsp;Hine’s&nbsp;Investment Management Practice Group

The&nbsp;SEC’s&nbsp;Office of Compliance Inspections and Examinations has highlighted the top three areas in which examinations of private fund advisers identify deficiencies: Conflicts, Fees and Expenses, and Codes of Ethics. Please join us for a series of informative&nbsp;webinars&nbsp;featuring industry experts who will examine the compliance issues identified in&nbsp;OCIE’s&nbsp;recent risk alerts and share best practices. Understanding and adequately responding to these concerns is essential to assuring funds remain in compliance with federal securities laws and avoid regulatory action by the SEC.

contentpilot/introduction

Our final program in this series will focus on compliance deficiencies related to the allocation of shared expenses; permissible expenses by law or contract; the role and compensation of operating partners; valuation processes; monitoring of portfolio company fees; and funds’ failures to follow their own codes of ethics.

core/list

It's a New Day: Fees & Expenses and Codes of Ethics 

acf/media

Firm Events

Videos

Partner

Richard S. Heller

Senior Counsel

Marc B. Minor

Investment Management

Webinar Series for Private Funds – It’s a New Day: Fees & Expenses and Codes of Ethics