Compliance Seminar for Private Fund Managers - Miami
A one-day seminar designed for private fund compliance professionals.
Kaufman Rossin
3310 Mary StreetMiami, FL 33133
United States
* Registration open until 5/8/26 at 12:00 AM (EDT)
Join us for a full day of in-person lab sessions designed to provide real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic. Attendees will leave with practical and useful tools to apply in their workspace. Enjoy a networking reception at the end of the day to wind down and connect with other compliance professionals. NSCP Interactive Compliance Labs are a great way to learn, engage and grow in your profession. This event is not available for virtual attendance and is closed to regulators and press.
Registration Options
|
Registration Options
|
Price |
|---|---|
|
NSCP Member
|
$425.00 |
|
Non-member
Registration Ends 5/8/26 at 12:00 AM EDT
|
$595.00 |
Agenda
| May 21 | |
| 1:45 AM - 2:00 PM | Break |
| 8:30 AM - 9:30 AM | Registration, Networking & Breakfast |
| 9:30 AM - 10:45 AM | Sale and Marketing of Private Fund Interests: Navigating Regulatory and Performance Challenges (Advanced) ) This session will examine the regulatory and compliance considerations involved in the sale and marketing of private fund interests under Regulation D, the SEC’s Marketing Rule, and the federal securities laws. |
| 10:45 AM - 11:00 AM | Break |
| 11:00 AM - 12:00 PM | Material Nonpublic Information (MNPI): Emerging Risks and Compliance Challenges (Intermediate) This session examines the evolving compliance risks associated with material nonpublic information (MNPI) in today’s markets, with a particular focus on emerging issues raised by prediction markets and other non-traditional information channels. |
| 12:00 PM - 12:45 PM | Lunch |
| 12:45 PM - 1:45 PM | Retailization of Private Funds: Emerging Compliance and Regulatory Considerations (Intermediate) Retailization is increasingly shaping the asset management landscape, affecting managers across strategies.As regulators and stakeholders expect firms to understand and address retail access issues, compliance teams are often asked to engage with retailization risks regardless of whether their firm currently offers retail-facing products. |
| 2:00 PM - 3:00 PM | Compliance and Regulatory Issues for Illiquid Strategies (Intermediate) Funds investing in illiquid assets, such as private equity, real estate, and private credit,have grown significantly in recent years and present compliance challenges distinct from those associated with more liquid investment strategies. |
| 3:00 PM - 3:15 PM |
Break
|
| 3:15 PM - 4:15 PM | Emerging Technologies: AI and Digital Assets in the Private Funds Industry (Advanced) This session explores how emerging technologies are reshaping the private funds landscape, with a focus on artificial intelligence and digital assets. examining how investment managers are adopting AI across compliance functions, as well as the evolving regulatory considerations associated with AI use, governance, and risk management. |
| 4:15 PM - 5:00 PM | Networking Reception |
REGISTRATION RATES: $425 for NSCP Members / $595 for Non-members
DATE: May 21, 2026 (8:30 AM - 5:00 PM)
CONTINUING EDUCATION: A Continuing Education (“CE”) Certificate of Attendance will be provided to attendees who participate in this event and verify their attendance with session scanning for each session that they attend.
CANCELLATION & REFUND POLICY:
All cancellations, refund requests, and substitution requests must be submitted to NSCP via written notification to conferences@nscp.org.
Registrations are fully refundable (less a 3% processing fee) more than 30 days prior to the first day of the event. After this date, no refunds will be issued; however, the registrant has the option to substitute someone else to attend in their place until 1 week prior to the event start date. After this point, no name changes will be honored.
NEARBY HOTEL OPTIONS: NSCP has not secured a room block for this event. Attendees should make their own hotel accommodations.