Private Fund
Compliance ForumMay 23-24, 2023
Convene 117 West 46th Street, New York

Exploring the role of theprivate funds CCO
Attendees earn up to 6 CLE and 10 CPE credits

To learn more, visit:
privatefundscfo.com/private-fund-compliance-forum/

This is the mostinformative
conference I
do every year.
Gabriel Willey
PCCP

Start the conversation
with KKR leaders
Bruce Kaparti gave his thoughts on hot topics ahead ofthe Forum.
What is the biggest cybersecurity threat to private markets in 2023 and how
are you overcoming it in your role?
“You can only control those vulnerabilities that you know about. Third parties andvendors can present unknown risks, so you need to do your due diligence andunderstand those factors before using them. Vendor risk management is criticalthese days; if you don’t pay attention, hackers and regulators certainly will.”
What are your top takeaways from the 2023 SEC exam priorities ontechnology and cybersecurity?

Bruce Karpati“The exam staff is clearly focused on firms’ policies and procedures and governancepractices as it relates to cyber incidents. This should highlight for registrantsthat they must be prepared with a practical set of policies and procedures and agovernance mechanism for dealing with incidents, in addition
to the importance of testing your program with real-life
Vendor risk management istabletop exercises.”Partner & Global Chief
Compliance Officer

KKR

critical these days.
Private Fund Compliance Forum 

2 of 9 | back to contents Start the conversation
with KKR leadersDavid Stern gave his thoughts on hot topics ahead ofthe Forum
What is the biggest cybersecurity threat to private markets in 2023 and how
are you overcoming it in your role?
“The speed at which new vulnerabilities are reported and then acted upon byadversaries has gone from months to weeks to days. Sometimes hours. It is vitalthat we focus on detection, incident preparedness and response. Significant
improvements in these spaces can make a big difference to a Firm’s security.”
What’s the number one area where you think firms overlook their risks?

David Stern

Managing Director, Chief
Information Security Officer

KKR”The PE industry uses a lot of outsourced services. Important information isregularly interchanged, via email, between internal teams and external ones.
These outsourced services have become so common the industry must ensurethat
these partners are capable and willing to do what is needed to protect their data.
This issue comes up in nearly every
conversation that I’m having in 2023.”

It is vital that we focus on detection, incident
preparedness and response.

Private Fund Compliance Forum 

3 of 9 | back to contents Hear directly from the SEC on new initiatives
Join us for discussions with theSEC covering topics including:Sarah G. ten Siethoff»2023 exam prorities»The development of new rules»

How to navigate future initiatives»

New enforcement actions»And more...

Deputy Director, Associate Director –Rulemaking Office, Division of Investment
Management

Securities and Exchange
Commission
Private Fund Compliance Forum 

Maryellen Maurer

Senior Securities Compliance Examiner Private Funds UnitManagement

Securities and Exchange
Commission

4 of 9 | back to contents Explore the mostpressing topics in thecompliance space

Excellent event, withall topics being highly
relevant.
Mark Russell
Omega Funds

The agenda is carefully curated to keep you up to date on
the latest regulations and enforcement actions fromthe SEC, emerging trends in compliance, and much more.
Attendees can earn up to 6 CLE and 10 CPE credits.

Topics covered include:»Effects of the Marketing Rule»

Expectations and evolution of the CCO role»

Managing cybersecurity threats»

Uncovering SEC exam priorities»

ESG and climate related regulations»

Business continuity planning»Managing technology and external providers from acompliance standpoint

Private Fund Compliance Forum View the full agenda 
5 of 9 | back to contents Hear from leaders in private market compliance

Jacob Comer

Sarah CondeSarah Curran

Carolyn Drayer-Greenwalt

General Counsel and CCO

Director of Enterprise Risk and CCO,
Private Investments

Chief Compliance Officer

NovaQuest Capital

General Counsel, Managing Director& Chief Compliance Officer

Providence Equity Partners

Wellington Management
Company

Gregory Hegerich

Maryellen Maurer

Kelly Pettit

Arthur Price

Head of Compliance, North America
Private Investments & Real Estate

Senior Securities Compliance
Examiner – Private Funds Unit

Bain Capital

U.S. Securities & Exchange
Commission

Managing Director, Chief
Compliance Officer, Associate
General Counsel

Managing Director, ChiefCompliance Officer and AssistantGeneral CounselGeneral Atlantic

Thomas H. Lee Partners

Patient Square Capital

View all speakers Private Fund Compliance Forum 

6 of 9 | back to contents Confirmed attendees
include:»»»»»»»»»»»»»»»»»»»»»ACON Investments
Adams Street Partners
American Realty Advisors
Arcline Investment Management
ArgandAtlantic Street CapitalManagement
Bain Capital Investors
Bow River Asset Management
Brightstar Capital Partners
CapitalSouth Partners
Carbon Direct CapitalManagement
Ethos Capital
FFL Partners
Fundamental Advisors
General Atlantic
GI Partners
Greylion Capital
HarbourVest Partners
Insight Partners
JMI ManagementKainos Capital

Private Fund Compliance Forum »»»»»»»»»»»»»»»»»»»»»»

KKR
Leonard Green & Partners
Levine Leichtman CapitalPartners
Lindsay Goldberg
NovaQuest Capital Management
Old Ironsides Energy
Paine Schwartz Partners
Parthenon Capital
Providence Equity Partners
Rockbridge Capital
Siris Capital GroupStar Mountain Capital
Stepstone Conversus
The Vistria Group
Thomas H. Lee Partners
Trilantic North America
TSG Consumer Partners
TZP Group
Wellington Management
Whitehorse Liquidity Partners
Wind Point Partners
And many more!

The conference
was extremely
valuable and I
took a lot of action
items applicableto our firm.
Ashley Sherman
Frontier Growth

7 of 9 | back to contents Join the must-attend complianceevent of the year!
For program information:

Book now Nikki Galenikki.g@pei.group+1 646 970 3813

Bring your team and enjoy significant discounts! For more
information, contact Anna Dorokhin at anna.d@pei.group.
For sponsorship opportunities:

One of my go-to events eachyear due to the timely programcontent and excellent panelists.

Josh Stoller
joshua.s@pei.group+1 646 970 3923

For event inquiries:
Liz Staley
Leerink Capital Partners

Private Fund Compliance Forum Anna Dorokhin
anna.d@pei.group+1 646 356 4512

8 of 9 | back to contents With thanks to our sponsors
Principal sponsor

Lead sponsors

Sponsors

Host publications

For exclusive event sponsorship packages:

9 of 9 | back to contents Josh Stoller
joshua.s@pei.group+1 646 970 3923

View all sponsors 