SOLD OUT: Legal, Compliance & Risk

Description

SOLD OUT

Attendance limits: Due to demand and space constraints, no more than two attendees will be allowed per investment manager or underwriting member. Contact meeting host with additional questions.

DETAILS

Wednesday, November 5
Meeting
Location: 123 North Wacker Drive, 30^th Floor
Time: 12:00-5:00pm CT

Networking Reception
Location: The Apartment, The Hoxton Chicago, 200 North Green Street
Time: 6:00-9:00pm CT

AGENDA

12:00pm Attendee arrivals and lunch

12:50pm Welcome Comments & Committee Update

Co-Chairs:

• Stephanie Shack, Senior Vice President & General Counsel, Continental Realty Corporation
• Todd Joseph, Senior Vice President, Chief Compliance Officer, Waterton

NAREIM:

• Marynia Kruk, Meeting Producer

12:55pm Attendee Introductions
To help facilitate connections, each attendee will be invited to briefly introduce themselves by stating their name and firm.

1:00pm AI Early Adopters & Luddites: Where is Your Firm in the Journey? Where are you, Personally? 
Where are you finding value in AI and which tools are you using? What kinds of prompts are you finding to be effective? How do you ensure “good data” is going in? In this live-polling-driven session, GCs, CCOs and CROs will deep dive into best practices for establishing AI governance frameworks and share use cases, tips, tricks, and lifehacks for both firm-wide and personal applications of AI that have worked for them.

Session Leaders:

• Kim Versace, Chief Compliance Officer, National Real Estate Advisors
• Lilly Shilton, Associate General Counsel, Real Estate, New York Life Real Estate Investors
• Jason Kerr, Chief Compliance Officer & General Counsel, Torchlight Investors

2:00pm Co-Investments & 506(c): Opportunities Amid Challenges 

Fundraising is evolving — are your strategies keeping up? With new SEC guidance decluttering the path for 506(c) and co-investments on the rise, this workshop tackles the real-world choices facing firms. We’ll break down trade-offs between 506(b) and 506(c), explore creative co-investment structures, and consider the operational and legal hurdles of both.

Session Leaders:

• Katie Maher, Vice President, Compliance, Cabot Properties
• Stephanie Shack, Senior Vice President & General Counsel, Continental Realty Corporation

2:45pm Break

3:00pm Conflicts & Allocation of Opportunity 

How do managers navigate investment allocations across a diverse client base? What happens when co-investments and expense allocations raise questions of fairness and transparency? Can firms effectively manage both public and private real estate without conflict? This session explores these challenges and the governance tools that help mitigate them.

Session Leaders:

• Anthony Conte, Chief Compliance Officer, PGIM Real Estate
• Jeff Jacobs, Chief Legal Officer, PGIM Real Estate

Speaker:

• Frank Falbo, Partner & Global Head of Real Estate Fund Formation, Mayer Brown

3:45pm Managing Regulator Risk in an Uncertain Environment: Best Practices for Navigating SEC Expectations
A discussion of SEC regulatory changes with an emphasis on Regulation S-P, what remains of the Corporate Transparency Act, and what remains of the AML Rule. We will review SEC examination best practices and explore challenges compliance teams face in this regulatory environment. 

Session Leaders:

• Melinda Brothers, Vice President & Assistant General Counsel, Berkshire Residential Investments
• Marc Leiding, Vice President, Compliance, Carmel Partners
• Molly Nelson, Senior Vice President, Head of Compliance & Deputy General Counsel, Compliance, Heitman

4:30pm Break

4:45pm What’s on Your Mind?  
Open mic forum for attendees to discuss timely issues with their peers. 

Session Leaders:

• Penn Stabler, Senior Vice President, Clarion Partners
• Todd Joseph, Senior Vice President, Chief Compliance Officer, Waterton

5:30pm Meeting Adjourns

6:00pm-9:00pm Networking Reception: The Apartment at The Hoxton Chicago

COMMITTEE

Co-Chair: Stephanie Shack, Senior Vice President & General Counsel, Continental Realty Corporation
Co-Chair: Todd Joseph, Senior Vice President, Chief Compliance Officer, Waterton

Melinda Brothers, Berkshire Residential Investments
Katie Maher, Cabot Properties
Marc Leiding, Carmel Partners
Penn Stabler, Clarion Partners
Molly Nelson & Chris Shapley, Heitman
Kim Versace, National Real Estate Advisors
Lilly Shilton & Alpesh Rathod, New York Life Real Estate Investors
Jeff Jacobs & Anthony Conte, PGIM Real Estate
Jason Kerr, Torchlight Investors

PAST AGENDAS

2025

2024

2023