Jeffrey R. Blumberg

• The Challenges of "Marketing" Private Investment Funds
  Ascendant Compliance Conference, April 2018
• Chapter 16: Private Fund Specific Regulatory Requirements
  Modern Compliance: Best Practices for Securities & Finance - Volume II, Wolters Kluwer, 2017
• Advertising and Social Media for Investment Advisers
  Securities & Commodities Regulation, Vol. 51, No. 4, February 21, 2018
• The Annual Review: Preparation, Forensic Testing, Assessing Controls and Reporting
  Ascendant Compliance Conference, October 2017
• CFTC and NFA Requirements: Exemption Considerations, Reporting and Portfolio Exposure
  Ascendant Compliance Conference, October 2017
• Marketing a Private Fund
  National Society of Compliance Professionals National Conference, October 2017
• Frontiers in Advertising & Social Media
  National Regulatory Services, Fall Conference, October 2017
• SEC Perspectives on Regulation
  Panelist, 2017 Alternatives Leadership Forum — Private Funds, August 2017
• Current Trends in Fund Structuring
  Panelist, 2017 Alternatives Leadership Forum — Private Funds, August 2017
• Advertising Compliance in an Online World
  National Society of Compliance Professionals, 2016 Spring Compliance Conference, Newport Beach, April 2017
• Guidance on Regulatory Filings
  National Society of Compliance Professionals National Conference, October 2016
• Insider Trading: Omnipresent Risks
  Ascendant Compliance Conference, September 2016
• Special Considerations for Marketing & Advertising Private Funds
  Financial Research Associates, Marketing & Advertising Compliance Forum for Investment Advisers, New York, August 2016
• Regulatory Panel
  National Society of Compliance Professionals, 2016 Spring Compliance Conference, Chicago, May 2016
• Policies & Procedures: The Cornerstone of Your Compliance Program
  National Society of Compliance Professionals, 2016 Spring Compliance Conference, Chicago, May 2016
• Social Media Practical Workshop
  National Regulatory Services, Managing SEC Compliance, London, December 2015
• Managing SEC Filing Requirements: ADV Parts 1 and 2, 13 F/G/H
  National Regulatory Services, Managing SEC Compliance, London, December 2015
• Dealing With Futures in Private Funds: Exemptions, Registrations and Compliance Concerns
  National Society of Compliance Professionals National Meeting, November 2015
• Investment Adviser Compliance and Practical Applications
  National Society of Compliance Professionals National Meeting, November 2015
• Investor Class Compliance Issues
  National Society of Compliance Professionals National Meeting, November 2015
• Compliance for Private Funds
  National Regulatory Services, Fall Conference, October 2015
• Are Ethics and Values Becoming Extinct
  Ascendant Compliance Conference, September 2015
• "Afterglow" — SEC Hot Topics: Succession Planning
  Ascendant Compliance Conference, September 2015
• SEC Examination Priorities for PE Firms: Valuations
  National Society of Compliance Professionals Webinar, May 2015
• The New Frontier: Crowdfunding for Non-Accredited Investors
  Introducing Online Capital to Real Estate Entrepreneurs, RealCap Chicago, April 2015
• SEC Examination Priorities for PE Firms: Fee and Expense Practices
  National Society of Compliance Professionals Webinar, March 2015
• Insurance — The Role of Risk Assessment & Mitigating Risks: Knowing What You Have Before You Need It
  Ascendant Compliance Conference, March 2015
• Social Media Supervision and Regulation in the Insurance and Securities Industry
  Bank Insurance & Securities Association Annual Convention, March 2015
• Managing MNPI & Trading Restrictions
  SCCG, Hot Topics in Financial Services & Securities Litigation, October 2014
• Ethics in Law
  National Society of Compliance Professionals National Conference, October 2014
• The Department of Labor as an Investment Management Regulator and Current Areas of Focus During Examinations
  Co-presenter, Chicago Compliance Group, September 2014
• SEC Examinations for Investment Advisers
  National Regulatory Services, Chicago Investment Adviser Compliance Symposium, July 2014
• Implications of Pay to Play Rules
  National Regulatory Services, 29th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference, May 2014
• Private Fund Marketing
  National Society of Compliance Professionals, Chicago Regional Meeting, April 2014
• Distribution Issues for Private Funds
  National Society of Compliance Professionals National Meeting, October 2013
• Compliance Time Management
  Ascendant Compliance Conference, September 2013
• Investment Advisers Act of 1940: Sections 201-224 and Related Rules
  NRS Education, Investment Advisers Compliance Training, June 2013
• Personal Trading: Making Your Program More Effective and Efficient
  NRS Education, Spring Compliance Conference, May 2013
• Documenting Your Compliance Program
  ACA Compliance Group Compliance Program, April 2013
• Advertising/Marketing/Social Media
  National Society of Compliance Professionals, March 2013
• Conflicts of Interest (Small Firms)
  National Society of Compliance Professionals National Meeting, October 2012
• Insider Trading Concerns Should Still Keep You Up at Night
  Ascendant Compliance Conference, September 2012
• Understanding the Structure of Private Funds
  National Society of Compliance Professionals, Midwest Regional Meeting, April 2012
• Principles of Sound Fund Management
  Ascendant Compliance Conference, March 2012
• Cloud Computing: Electronic Storage
  Ascendant Compliance Conference, March 2012
• Raising Capital and Marketing Your Fund
  National Society of Compliance Professionals National Meeting, October 2011
• Investment Advisory Agreements
  Ascendant Compliance Conference, September 2011
• New Whistleblower and Anti-Retaliation Procedures
  Ascendant Compliance Conference, September 2011
• The Accuracy of Disclosures Made to Clients
  Ascendant Compliance Conference, March 2011
• The Distribution of Products
  Ascendant Investment Adviser Compliance Conference, September 2010
• Fundamentals of Compliance and Best Practices for Private Funds and Hedge Funds
  National Society of Compliance Professionals National Meeting, November 2010
• Critical Annual Review Tasks
  Ascendant Investment Adviser Compliance Conference, Washington, D.C., September 2010
• New SEC Custody Requirements and the Mandate to Safeguard Client Assets
  National Regulatory Services, Annual Spring Compliance Conference, April 2010
• A Focus on Hedge Funds
  Ascendant Investment Adviser Compliance Conference, March 2010

Firm Blog Contributions

• Discerning Data – a forum that discusses developments in privacy, cybersecurity, information governance and data analytics