The Deal Room | Ahead of the Rule: Compliance Before It Costs You

​Most sponsors find out about a compliance problem after it has already shown up in a filing, an investor question, or a letter from counsel. This week we’re flipping that.

​Featured guest: Jaye, Haven Partners Group
Jaye is a stewardship advisor and the ecosystem architect behind Haven Partners Group. HPG works where capital integrity meets proactive compliance. The goal is to spot shifts in SEC and state-level standards beforethey turn into filing, client, or liability exposure for fund managers and securities attorneys. HPG is also building a trust-gated regtech platform, currently in founding-cohort development.

​What we’ll get into

• ​The SEC and state-level shifts sponsors are underestimating right now

• ​Where first-time and growing syndicators most often get exposed

• ​What “anticipatory compliance” looks like in practice, week to week

• ​When to bring in securities counsel vs. handle it internally

​Format

• ​Industry Insights (20–30 min): Jaye, plus open Q&A

• ​Practice Your Pitch (30–40 min): 1–2 sponsors present their deal for feedback from the room

• ​Roundtable: stay as long as you like to network and compare notes

​Who should attend
Fund managers, syndicators, and GPs raising capital. Securities attorneys and advisors. Passive investors who want to know what good sponsor compliance looks like before they wire funds.

​No course, no upsell. Just a room of operators and investors working through real deals.

​Registration is reviewed. If you’d like to present a deal at a future session, attend one first, then reach out to the host to get on the list.