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Critical Issues for Hedge Funds and Private Equity: Perspectives on Compliance and Enforcement From In-House and Outside Counsel

Date: Thursday, September 22, 2016 8:15 AM - 10:00 AM

Venue: Covington & Burling LLP, New York, NY

A panel featuring Richard Zabel, General Counsel of Elliott Management Corporation, and several of Covington’s experienced partners will address a range of critical compliance and enforcement issues currently facing the hedge fund and private equity industries, including issues relating to insider trading, election law and anti-money laundering compliance.

We will cover:

  • The latest developments and trends in enforcement relating to insider trading law, including the pending Supreme Court case United States v. Salman
  • “Political intelligence” insider trading cases, including recent executive branch enforcement actions and the STOCK Act
  • Election law compliance, including the SEC’s “pay-to-play” rule, and political corruption prosecutions
  • FINCEN’s proposal to require investment advisors to adopt AML compliance programs, and the implications for SEC and DOJ enforcement
  • Entity liability, which proactively protects fund management companies from wrongdoing committed by employees

Covington’s distinguished panel will include:

  • Richard Zabel, General Counsel and Chief Legal Officer, Elliott Management Corporation, and former Deputy U.S. Attorney in the Manhattan U.S. Attorney’s Office
  • Arlo Devlin-Brown, Partner, White Collar Defense and Investigations and Securities Enforcement practices, who recently joined Covington from the Manhattan U.S. Attorney’s Office, where he prosecuted major insider trading cases and served as Chief of the Public Corruption Unit
  • Robert Kelner, Partner and Chair, Election and Political Law practice, who advises hedge funds, private equity firms and other clients on election and political law issues
  • David Kornblau, Partner, Securities Enforcement practice, and a former senior SEC Enforcement official, will moderate

For additional information please contact Katie Munroe.

CLE credit will be offered