Broadcast Date: Thursday, October 15, 2020
from 3:00 pm to 4:00 pm (ET)


In recent years, the private fund industry has experienced massive growth which has significantly outnumbered public equities. More notably, private equity funds continue to foster and diversify into credit, leasing, real estate, and infrastructure investments among others making private equity firms enter the year with expectations of increased transaction volumes. However, as the industry maintains its upward trend, several complexities begin to emerge such as increased litigation risks and regulatory scrutiny. The upcoming elections also continue to portend uncertainty surrounding regulatory enforcement and legislations. It is, therefore, imperative to closely monitor the trends and developments in this specific area.

In this LIVE Webcast, investment attorneys Jonathan Levy (Ballard Spahr LLP) and Jonathan B. Vessey (STINSON LLP) will provide the audience with an in-depth analysis of the recent developments in private funds regulation. Speakers will offer effective compliance practices to avoid risks and complexities. They will also examine the critical issues concerning the private equity fund and its enforcement.

Key Issues:

  • Private Fund Regulation – An Overview
  • Trends and Developments
  • Private Equity Funds
  • Regulatory Enforcement and Legislation
  • Risks, Issues, and Complexities
  • Outlook


Course Level:



Advance Preparation:

Print and review course materials


Method of Presentation:

On-demand Webcast (CLE)



General knowledge of investment management regulations


Course Code:



NY Category of CPE Credit:

Areas of Professional Practice


Total Credit:

1.0 CPE

Speaker Panel:

Jonathan Levy, Partner
Ballard Spahr LLP

Jonathan Levy is the Practice Leader of the firm’s Investment Management Group. Jon advises investment managers, investment companies, and institutional investors on securities and corporate law. He also regularly advises private and public companies, as well as officers, directors, and shareholders, on a wide range of matters related to corporate and securities law. He has significant experience in investment management, public-company disclosure, public mergers and acquisitions and other change-in-control and strategic transactions.

Jon’s investment management work encompasses organizing, registering, and structuring money-management firms and public and private investment companies, representing buyers and sellers on M&A transactions involving investment advisors and similar businesses and providing counsel on SEC, FINRA, and other regulatory-compliance matters, including preparing clients for inspections and defending them in enforcement actions.

Jonathan B. Vessey, Partner

Jonathan represents clients in a variety of corporate matters, including mergers and acquisitions, fund formation and regulation, private equity investments, joint ventures, regulatory compliance and corporate governance.

Serving as chair of the firm’s Private Equity practice group, Jonathan represents clients ranging from privately held industry leaders and publicly traded multinational companies to hedge funds and private equity firms. His private equity practice spans a broad variety of sectors including work for private equity sponsors and their portfolio companies, and negotiating side letters for fund investors as well as the formation and regulation of investment funds.

He has extensive experience with representations and warranties insurance and a strong network in the industry, which he leverages on behalf of both financial and strategic buyers. Jonathan also advises clients on all aspects of entity formation, complex structured investment transactions and purchase of non-standard securitizable assets, and has substantial experience with the formation of private equity and hedge funds.



Jonathan Levy, Partner

Ballard Spahr LLP

  • Conflicts of Interest in various contexts including:
    • Allocation of investment opportunities
    • Multiple clients in same investment
    • Financial relationships between adviser and investors
    • Preferential liquidity rights
    • Recommended investments
    • Co-investment opportunities
    • Service providers
    • Cross-trades
  • Fees and Expenses
    • Allocations
    • Disclosure
    • Travel and expenses
    • Operating Partners
    • Valuation
    • Board and monitoring fees
  • Material Non-Public Information/Code of Ethics Requirements
    • Policies and procedures


Jonathan B. Vessey, Partner


  1. Fund valuation practices
  2. Changes to the definition of “accredited investor”
  3. The Volcker Rules – “Covered Funds” Amendments
  4. COVID-19 and fund regulation
    1. Information requirements
    2. In-person Board meetings
    3. Other trends and forward-looking impacts

Date & Time:

Thursday, October 15, 2020

3:00 pm to 4:00 pm (ET)

Who Should Attend:

  • Private Equity Managers
  • Hedge Fund Managers
  • Investment Advisors
  • Risk and Compliance Officers
  • Finance Lawyers
  • General Counsel
  • C-Level Executives
  • Investors


Jonathan LevyPartner
Ballard Spahr LLP
Jonathan B. VesseyPartner



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