Webinar: The calm before the storm – SEC private fund best practices
As the landscape for compliance in the US is going through turbulent times, join us for the first session of our two-part conversation series with SEC funds specialist Dan Faigus, where he will give a comprehensive overview of the best SEC practices in preparation of the upcoming developments.
For this series, we are excited to be partnering with Elisabeth Haub School of Law at Pace University, who will provide a CLE credit for attending the session.
In order to claim your CLE credit, you will need to complete the following registration with Pace: CLE credit registration
Hosted by Taylor Root legal and compliance experts Victoria Coleman and Lisa Cavanaugh, this session will provide invaluable insights into the regulatory framework and help you prepare for potential upcoming changes, which we will discuss in-person at our next event of the series.
To attend and to receive information about our next session, please register below.
MEET YOUr SPEAKEr
Dan Faigus is the private funds specialist within the Division of Examinations of the U.S. Securities and Exchange Commission (SEC). He is a member of the SEC’s Private Funds Unit (PFU), and a co-coordinator of the SEC’s Private Funds Specialized Working Group (400+ member group team focused on issues related to private funds). In this capacity, Dan works on complex examinations and investigations of private fund advisers both within the Division of Examinations and the Division of Enforcement, assists on key policy matters and regularly speaks at industry conferences and outreach events.
Dan is also an Adjunct Professor at Drexel University’s Thomas R. Kline School of Law where he has developed courses related to private funds and the Investment Advisers Act of 1940. Prior to joining the SEC, Dan worked at a big-four consulting firm, primarily assisting the firm’s private equity, hedge fund and broker-dealer clients in navigating SEC and regulatory related matters.
Dan graduated from The George Washington University’s Honors Program with a degree in Finance, the Georgetown University Law Center’s Securities and Financial Regulatory Certificate Program and holds the Chartered Alternative Investment Analyst (CAIA) and Certified Regulatory and Compliance Professional (CRCP) designations.
