MasterClassTM

Capital Roundtable

Marquee Sponsor

Showcase Sponsor

Association Partners

 

Data Partners

Partial List of
Past Attendees

ACA Compliance Group LLC

Amalgamated Capital

American Capital Ltd.

Audax Group

Auriga Capital Management LLC

Auriga Holdings LLC

Bank of Ireland

Black Diamond Capital Management LLC

Bloomberg LP

Blue Sky MLS Inc.

BNP Paribas

BNP Paribas Private Capital Group

Brean Capital LLC

Capitala Investment Advisors LLC

CapitalSouth Partners Funds LLC

Capitol Acquisition Corp. II

Carlyle GMS Finance Inc.

CarVal Investors LLC

Caspian Private Equity LLC

Citigroup Inc.

Consumer Growth Partners LLC

Cortland Capital Market Services LLC

Credit Suisse

Credit Suisse Securities (USA) LLC

D. Aaron Asset Management LLC

Dechert LLP

EisnerAmper LLP

Equalitas Capital

Equus Total Return Inc.

Ernst & Young LLP

Fidus Investment Corp.

Full Circle Capital Corp.

Gapstow Capital Partners

Gerson Lehrman Group Inc.

Gladstone Companies

Gladstone Investment Corp.

Grant Thornton LLP

Harris & Harris Group Inc.

Harvest Capital Credit Corp.

Haynes & Boone LLP

ICON Investments

Keefe Bruyette & Woods Inc.

King & Spalding LLP

Kiski Alpha Partners LLC

KPMG LLP

KSL Capital Partners LLC

Lincoln International LLC

McGladrey

McLarty Capital Partners

Medley Capital LLC

Mercer Capital

Milestone Partners

Monroe Capital LLC

Morgan Lewis & Bockius LLP

Murray Devine & Co. Inc.

MVC Capital Inc.

National Fund Advisors LLC

Nelson Mullins Riley & Scarborough LLP

New Mountain Capital LLC

NewSpring Capital

Old Hill Partners Inc.

Partners Group AG

Pepper Hamilton LLP

Perella Weinberg Partners LP

Robert W. Baird & Co. Inc.

Rothstein Kass & Co. PC

Saratoga Investment Corp.

Small Business Investor Alliance

State Street Corp.

State Street Global Svcs Alt. Investment Solutions

Stellus Capital Management LLC

Structural Capital

Sutherland Asbill & Brennan LLP

Technology Media Advisors LLC

THL Credit Inc.

VRC | Valuation Research Corporation

Wafra Capital Partners Inc.

Wells Fargo Securities LLC

Wood Creek Capital Management LLC

Wunderlich Securities Inc.

 

































 

 

Compliance Land Mines,
Regulatory Burdens, & Cyber Threats --

What's a CFO/COO to Do?

 

Best Practices for Overseeing

PE Fund Administration & Compliance

                     

CHAIRED BY

Joshua Cherry-Seto

Chief Financial Officer
Blue Wolf Capital Partners

 

FULL-DAY CONFERENCE

Thursday, October 6, 2016

8:00 am – 5:00 pm

New York City

 

REGISTER NOW

 

MARQUEE SPONSOR

Duane Morris

 

SHOWCASE SPONSOR

ACA Compliance Group

 

INSIGHTS FROM 20 EXPERT SPEAKERS!

David Acharya, AGI Partners LLC

Jennifer Choi, Institutional Limited Partners Association

Blinn M. Cirella, Saw Mill Capital LLC

April E. Evans, Monitor Clipper Partners LLC

Eric Feldman, Riverside Company

David Gershman, Trivest Partners LP

Scott Gluck, Duane Morris LLP

David Hellier, Bertram Capital Management LLC

Nisha Kumar, Greenbriar Equity Group LLC

Amber Landis, ACG Global

Caroline Luz, Owen Blicksilver Public Relations Inc.

Peter A. Lyons, Leeds Equity Partners LLC

Paul F. Murray, Thomas H. Lee Capital

Nickie Norris, New Heritage Capital LLC

Alpa Patel, U. S. Securities & Exchange Commission

Jack Rader, ACA Compliance Group

Igor Rozenblit, U. S. Securities & Exchange Commission

Casey Santos, General Atlantic LLC

Bela R. Schwartz, Riverside Company

Kevin Vannucci, RSM US LLP

Timothy S. Weld, StepStone Group LP

Adam D. Zoia, Glocap Search LLC


Faculty | Schedule | Registration | Location | Sponsorship | Audio Package |

Here’s the bad news. 

 

As a CFO, you're coming under fire from all sides. The SEC is scrutinizing your fees and expenses with renewed vigilance. Your LPs are demanding that you adhere to ILPA's fee template. And your systems are increasingly at risk of cyber breaches.

 

Moreover, your senior partners are grousing at being told what they can and cannot do under the new rules.

 

Here’s the good news. 

 

The Association for Corporate Growth’s (ACG) Private Equity Regulatory Task Force (PERT) is providing a voice to address today’s regulatory environment. 

 

Incorporating the newest findings from PERT’s principles, the Capital Roundtable’s full-day program covers how CFOs and COOs from firms like yours are meeting today's rising challenges.

 

At The Capital Roundtable’s “Best Practices for Overseeing PE Fund Administration & Compliance,” conference you’ll learn from our 20 expert speakers --

 

  • how to cope with SEC and ILPA issues.
  • what’s the best way of handling disclosures on fees, valuations, and co-investments.
  • how to deal with cybersecurity.
  • how to stay in compliance with marketing materials. 

 

You'll even hear from CFOs and COOs who have recently gone through SEC examinations, and from Scott Gluck who is outside counsel to ACG’s PERT, so you can be prepared to take the right steps when there's a knock at your door.

 

Discover solutions that will help you be proactive amid the burdens and hurdles by attending The Capital Roundtable's “Best Practices for Overseeing Private Equity Fund Administration & Compliance" conference -- being held in New York City on Thursday, October 6th.

 

Here Are Three Key Reasons Why CFOs & COOs Should Join Us

 

  1. Learn how to create a co-investment policy with just the right amount of disclosure to satisfy your LPs.
  2. Discover how to fine-tune fee and expense allocations to survive the SEC's new priorities on enforcement actions and settlements.
  3. Hear the latest on emerging issues such as cybersecurity. Advertising and marketing expense fees. And broker-dealer registration.

Register Now to Join Joshua Cherry-Seto
And More Than 20 Industry Experts

 

We’re delighted to welcome as our conference chair Josh Cherry-Seto, CFO at Blue Wolf Capital Partners, a New York City private equity firm specializing in control investments in middle-market companies.

 

At Blue Wolf, Josh is responsible for --

  • fund and management company reporting to LPs, the SEC, and the other regulatory agencies
  • coordinating finance operations and reporting of Blue Wolf’s own portfolio companies,
  • and the investment and tax structuring of potential platform, add-on, and co-investment opportunities.

Before joining Blue Wolf in 2013, Josh served as a portfolio and finance manager at Grove International Partners. He previously held a variety of positions within Citigroup, acting principally as a vice president with responsibilities including financial planning and analysis, tax structuring, SEC registration, and systems implementation. In addition, Josh's experience includes several roles with organized labor unions.

 

He is actively involved with multiple middle-market private equity initiatives, including the Association for Corporate Growth (ACG) where he serves as a board member of the New York chapter, sits on the ACG PERT steering committee, co-chairing the fees and expense sub-committee, and co-chairs the ACG New York chapter PE CFO Roundtable.

 

Josh earned a BS degree from Cornell’s School of Industrial & Labor Relations, a post-graduate certification in executive IT management from Columbia University, and an MBA from New York University’s Stern School of Business.

 

Register Now to Find Out Which Methods
Work the Best for Firms Like Yours

 

This concise conference features exclusive panel discussions and conversations that provide a candid and insightful look into today's best practices. Join us for answers to such questions as --

  • What can PE funds do to reduce the risks associated with insufficient disclosure language and potential conflicts of interest?
  • How are firms handling today’s increased compliance workloads?
  • How are middle market PE firms responding to increasing demands for fee and expense disclosures, including portfolio company fees?
  • What are the key questions or areas you can expect to be asked during an SEC compliance audit?
  • What have been the most recent changes affecting accounting, tax, and compensation matters?
  • What are the current trends in co-investment and their impact on process and compliance matters?
  • What are the recent developments around marketing and use of firm websites for deal generation?
  • What are typical questions and information requests from LPs that CFOs are directly fielding?
  • What hot technology and software products are PE firms flocking to?
  • How are back office procedures being streamlined?
  • When performing valuations, what details must be disclosed?

Three More Reasons Why You Should Join Us

 

  1. Realize why you must choose compliance policies and procedures that best fit your firm's style of doing business.
  2. Understand why cybersecurity is a major risk to your firm, and how you can combat the threat.
  3. Get the latest on proposed anti-money laundering and know-your-customer regulations, on mandatory third-party compliance reviews, and on succession planning.

Register Now to Form Valuable Contacts
With Colleagues & Professionals

 

This Capital Roundtable conference is the ideal place to expand your network and open up pathways to future deals. The day’s agenda includes ample time to let you --

  • Meet fellow attendees and featured speakers
  • Enhance your personal database with valuable new connections
  • Share both ideas and business cards
  • Meet potential investment partners and clients

Keep in mind this conference is certain to fill up quickly, so you’ll want to register as soon as possible to assure yourself a seat. To avoid disappointment, please contact Sarah Burd today to confirm your attendance at 212-832-7300 ext. 0 or sburd@capitalroundtable.com.


 

 Who Should Attend

 

Designed to Meet the Needs of GPs, LPs, & Managers of Buyout, Growth Equity, Mezzanine, BDC, and Lending Funds, as Well as Independent Sponsors, Operating Partners, Portfolio Company Managers, and the Bankers, Lawyers, Accountants,
& Other Advisors Who Support Them.

 

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We look forward to having you join us on Thursday, October 6.

 

Conference Organizers

 

This conference is being produced by The Capital Roundtable, America’s leading conference organization focusing on “need-to-know” information for professionals in the middle-market private equity community.  For more information about The Capital Roundtable’s 30 annual conferences and other events and programs, please visit www.capitalroundtable.com.

 

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 Speaking & Business Development Opportunities

 

We offer excellent speaking, marketing, and business development opportunities to reach the middle‑market private equity community. For more details, please contact Kellie Green or Claire Notton at 212-832-7300 or by email at kgreen@capitalroundtable.com or cnotton@capitalroundtable.com.

 

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Have a Question?

 

Please contact Sarah Burd at sburd@capitalroundtable.com or 212-832-7300 ext. 0.

 

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Who We Are

 

This Capital Roundtable conference in midtown, New York City, is all-business, all-targeted, all-designed to be a completely focused day of practical information and revealing insights about administration and compliance. You’ll gain valuable insights from --

  • Three informative panel discussions
  • Two revealing keynote presentations
  • Real-world perspectives from administration & compliance experts
  • Industry outlooks from noted sector experts
  • War stories and lessons learned from experienced hands

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Faculty

Chaired By

  • Joshua Cherry-Seto, Chief Financial Officer,Blue Wolf Capital Partners

Hosted By

  • Burt Alimansky, Chairman & CEO, The Capital Roundtable

Speakers

  • David Acharya, Partner, AGI Partners LLC
  • Jennifer Choi, Managing Dir.--Industry Affairs, Institutional Limited Partners Association
  • Blinn M. Cirella, Chief Financial Officer, Saw Mill Capital LLC
  • April E. Evans, Partner, CFO & COO, Monitor Clipper Partners LLC
  • Eric Feldman, Chief Information Officer, Riverside Company
  • David Gershman, Partner & General Counsel, Trivest Partners LP
  • Scott Gluck, Special Counsel, Duane Morris LLP
  • David Hellier, Partner, Bertram Capital Management LLC
  • Nisha Kumar, Managing Director, CFO & CCO, Greenbriar Equity Group LLC
  • Amber Landis, V.P.--Public Policy, ACG Global
  • Caroline Luz, Managing Director, Owen Blicksilver Public Relations Inc.
  • Peter A. Lyons, Managing Director & CFO, Leeds Equity Partners LLC
  • Paul F. Murray, Chief Technology Officer, Thomas H. Lee Capital
  • Nickie Norris, General Partner, COO & CCO, New Heritage Capital LLC
  • Alpa Patel, Branch Chief--Private Funds Group, Div. of Investmt. Mgmt., U. S. Securities & Exchange Commission
  • Jack Rader, Managing Dir. & Private Equity Practice Leader, ACA Compliance Group
  • Igor Rozenblit, Co-Head--Private Funds Unit, U. S. Securities & Exchange Commission
  • Casey Santos, Chief Information Officer, General Atlantic LLC
  • Bela R. Schwartz, Chief Financial Officer, Riverside Co.
  • Kevin Vannucci, Partner & Natl. Practice Leader--Business Valuation, RSM US LLP
  • Timothy S. Weld, Partner, StepStone Group LP
  • Adam D. Zoia, CEO & Head--PE & Hedge Fund Practices, Glocap Search LLC

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Schedule

 

 

07:00-08:00

Networking & Registration & Breakfast

08:00-08:30

Welcoming Remarks & Audience Self-Introductions

08:30-09:00

Conference Chairman’s Introduction 

  • Introduction to PERT & overview of initiatives

              Joshua Cherry-Seto, Blue Wolf Capital Partners LLC

09:00-09:30

Morning Keynote --

“Setting the Regulatory Table”

  • Scott Gluck, Duane Morris LLP

 

09:30-10:30

First Panel --

“Fee & Expense Allocation & Disclosure --

Navigating the Sharpened Focus of The SEC &

Increased Investor Pressure”

10:30-11:15

Networking & Coffee

11:15-12:00

Morning Conversation --

“Cybersecurity --

Managing Portfolio Company Risk & Preparing for the SEC’s Cyber Exams”

 

12:00-12:30

Morning Keynote --

  • Adam Zoia, GloCap

12:30-01:30

Networking & Luncheon  

01:30-02:30

Second Panel --

“Bringing Clarity to Co-Investments --

Saying Enough Without Saying Too Much”

02:30-02:45

Networking & Dessert

02:45-03:30

Afternoon Conversation --

“Simplifying the Valuation Process --

How to Implement Best Practices & Remain Compliant”

03:30-04:30

Third Panel -- 

“PE Firm Marketing --

Having a Robust Marketing Program under the Securities Laws"

04:30 Networking & Adjournment
 
  
  

 

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Registration

Space at this conference is limited, so register as soon as possible to assure yourself a seat. To avoid disappointment, please contact Sarah Burd today to confirm your attendance at 212-832-7300 ext. 0 or sburd@capitalroundtable.com.

 

Please note that The Capital Roundtable limits the number of registrants from a single firm to three.

 

  • Best Rate -- Early Registration -- Save $400 off the standard fee of $1495 when you register by Friday, August 11. Just $1095.

 

  • Incentive Registration -- save $200 off the standard fee!
    Register by Friday, September 1, and the fee for the conference is $1295.

 

  • Conference Rate -- $1,495 increasing to $1,595 day of conference, space permitting.

 

  • Group Rate -- $995 each, when you register two or more people to attend from the same company.

 

Register Now

 

You can pay by credit card (using the links above) or by check. Mail your check and business card to: New York Business Roundtable Inc., 747 Third Avenue, Suite 200, New York, NY 10017.

Have a special question? Please contact Sarah Burd at sburd@capitalroundtable.com or 212-832-7300 ext 0.

 

From time to time, for reasons beyond Capital Roundtable's control, program schedules and speakers become subject to change.  We make every effort to announce substantive changes by email to registrants at least 48 hours in advance.

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Location

Midtown, NYC

Details provided upon registration

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Audio Package

Can't attend but want to hear the program? You can buy the audio package along with the handouts. Purchase the audio package online now.

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Sponsorships

We offer excellent marketing and business development opportunities to reach the middle‑market private equity community. For more details, please contact Claire Notton at 212-832-7300 ext.117, or by email at cnotton@capitalroundtable.com.

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