AGENDA

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The Legal, Compliance & Risk Committee is hard at work developing the agenda. Please check here for updates.

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Wednesday, Nov. 8 

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Attendees are invited to reconnect with peers and create new connections at a half-day, in-person meeting and networking dinner.

• Meeting location: Madison International Realty office: 300 Park Ave., 3rd Floor, New York, NY 10022 

  • Time: 2.30-5.30pm ET

• Networking dinner: The Dawson Restaurant & Bar, 23 W 45th St., New York, NY 10036

  • Time: 6-8pm ET​

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2.30pm NAREIM welcome comments, Legal Compliance & Risk committee update & brainstorming exercise

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NAREIM Legal Compliance & Risk committee members will provide a short update, ask attendees to fill out

What’s on Your Mind cards, and give a brief overview on what topics will be discussed that evening.​

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• Co-Chair: Jeffrey Morandi, Senior Vice President, Chief Compliance Officer, Berkshire Residential

• NAREIM: IvyLee Rosario, Meeting Director

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2.45pm Deep Dive: Proposed & Final SEC Rules 

Members discuss the current challenges from SEC rule changes and how to navigate the space going forward. 

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• Session leader:

  • ​Jacqueline Kelly, Partner, PwC

• Speakers:

  • Alyssa Heim, Managing Director, Kroll

  • ​Pete Driscoll, Partner, PwC

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Issues to be addressed include: 

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• Private Fund Rule: New audit requirements, expanded quarterly statement disclosures and prohibitions 

• Safeguarding Rule Proposal: concern from the CRE space given the low risk of misappropriation 

 

• Format: Polling, followed by whole-room best practice sharing - 45 mins 

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3.30pm Break 

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3.45pm Practical solutions for employee communications 

Members discuss what sources they use for communications, what works and what doesn’t.

 

• Session leader:

  • Todd Joseph, Chief Compliance Officer, Waterton Associates 

• Speaker:

  • ​Eva Ciko Carman, Partner, Ropes & Gray LLP 

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​Issues to be addressed include: 

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• What are managers doing to meet SEC rules around these communications?

  • Better training

  • Conducting annual surveys

  • Implementing stronger policies ​

• What technologies are being used to capture communications? 

• How do you mitigate challenges when dealing with internal vs. external firm communications?

  • What are the different strategies for U.S. vs. non-U.S. contacts? ​

 

• Format: Small-group roundtable exercise and whole-room best practices sharing. - 45 mins

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4.30pm Break 

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4.45pm What's on your mind?

​​Open forum discussion around the latest changes in the industry.

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• Session leader:

  • Jeffrey Morandi, Senior Vice President, Chief Compliance Officer, Berkshire Residential

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• Format: Whole-room best practices sharing. - 45 mins 

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5.30pm End of meeting 

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6-8pm Networking dinner