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Best Practices for Building and Implementing a VC Fund Manager Compliance Program
Join NVCA and experts from ACA Group and Northgate Capital as they walk through best practices for building and implementing a compliance program at a VC fund manager, including:
• Overview of current SEC regulatory framework for VC ERAs and RIAs
• SEC examination and enforcement focus areas of relevance to VC ERAs and RIAs
• Implementing and operating effective compliance programs - considerations & challenges
• Latest trends (including SEC’s increased focus on the VC fund manager industry, formalization of investment processes, enhanced LP and SEC scrutiny of side letter management practices, increased need for oversight of senior advisers and other types of investment consultants, and cybersecurity and business continuity planning trends in the COVID-19 era)
• Challenges faced by VC ERA firms considering transitioning to RIA status

• Lawrence Cowen, General Counsel & Chief Compliance Officer, Northgate Capital
• Vivek Pingili, Director, ACA Group

Nov 4, 2021 01:00 PM in Eastern Time (US and Canada)

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