On December 10, 2013, PEF Services, Jamison & CO and Edwards Wildman hosted a webinar on “Shifting Regulatory Landscape Focus for Private Equity Funds.”

With the Alternative Investment industry in a state of flux due to new regulations and industry changes, appropriate internal controls that reflect the actual operations of the fund are essential. While the SEC has provided some guidance about the core policies and procedures that a compliance program should address, the law and industry best practices are still evolving. Vigilance and constant monitoring are crucial to building a strong, positive relationship with limited partners and the SEC.

Topics Include:

  • Regulatory updates
  • Litigation trends
  • SEC examiner “hot buttons”
  • Strategies to mitigate risk using insurance products

Mark Heil, EVP of PEF Services will moderate the webinar and panelists will include Anne Anquillare, President of PEF Services, Nicole Segal, Sr. Vice President of Herbert L. Jamison & Co. and Heather Stone, Partner at Edwards Wildman Palmer.

Panelists:

Anne Anquillare,
PEF Services

Anne Anquillare, President, PEF Services
Anne is co-founder and CEO of PEF Services. Anne has been active in the private equity industry since 1993. She has served as general partner of Walden Capital Partners; an SBIC fund licensed in 1996, and also worked in the investment business unit for Prudential Insurance Company of America. From 1998-2000, Anne served on the Board of Governors of the National Association of Small Business Investment Companies. She has been a frequent guest speaker for organizations including SBIA (formerly NASBIC), The Capital Roundtable, McGladrey, Edwards Wildman, CLE International, PricewaterhouseCoopers and her own General Partner Seminar series. Anne, a Chartered Financial Analyst (CFA), holds a Bachelor of Science in Finance from Lehigh University and an MBA from New York University Stern School of Business.

Heather Stone
Edwards Wildman

Heather Stone, Partner, Edwards Wildman
Heather focuses on private equity and venture capital and is Chair of the Firm’s Fund Formation practice group. She has 20 years of experience in a range of domestic and cross-border corporate and securities transactions and fund formation work. Heather has represented many private equity firms, as well as many growth-oriented software, emerging technology and media companies in all stages of development, from start-ups to multi-national public companies. Heather  has been voted by Digital Industry as the “Best General Lawyer for a High-Tech Firm”, and has been designated a “Super Lawyer” by Law & Politics and Boston Magazine. In addition, Heather serves on the Executive Advisory Board of the Thunderbird Global Private Equity Center.Heather has extensive experience working with start up companies and entrepreneurs as they form and grow their businesses. This focus area is supported by the Firm’s Helping Innovators Thrive (HIT) program hit.edwardswildman.com) which provides support and affordable access to strategic legal advice for qualifying  entrepreneurs and young companies.

 

Nicole Segal, Sr. Vice President, Herbert L. Jamison & Co, LLC
Nicole is a Senior Vice President and co-head of the firm’s Alternative Investments Insurance Management Group (AIIMG). She joined the Jamison Group 9 years ago to build the firm’s effort in the Alternative space, focusing on insurance products designed for hedge funds, private equity firms, broker/dealers, and service providers including Compliance firms and third party marketers. Ms. Segal and her co-head, Ms. Griffin, have successfully created a one-stop insurance shop for the firm’s clients. Ms. Segal’s product focus includes Errors and Omissions, Directors and Officers, Employment Practices Liability, Fiduciary Liability, Commercial General Liability, and a number of other property and casualty insurances. She works with personal lines insurance, group benefit coverage’s as well as individual life, disability, and long term care insurance. For a number of her clients, she has also placed their key man insurance.

Prior to joining the Jamison Group, Ms. Segal spent 15 years marketing and distributing global fixed income securities, derivatives and insurance products to institutional money managers including alternative investment managers, pension funds, and mutual fund advisors. Her previous employers include Credit Suisse First Boston, Commerzbank Securities and MetLife. Additionally, Nicole spent nearly two years as a Director at a boutique executive recruiting/management consulting firm, servicing the financial industry including hedge funds, private equity funds, mutual fund managers, and investment banks. Ms. Segal holds Life, Health, Property and Casualty licenses. She has a Bachelor of Arts in American History from Columbia University, 1989.

Mark Heil is the Executive Vice President of Business Development of PEF Services. He has worked with private equity firms since 1994.

Prior to joining PEF Services, he founded CereNova Fund Marketing LLC, a boutique third-party marketing firm that provided  capital raising and marketing services primarily to early stage venture, growth capital, mezzanine, venture debt and buyout funds. Mark is currently treasurer and a board member of the Private Investors Forum, an angel investor group which encourages investments in small businesses through its annual Angel Venture Fair, and former president and board member of the Entrepreneurs’ Forum of Greater Philadelphia. Mark holds an MBA from Drexel University and a BS of Finance and Marketing from St. Joseph’s University.