The first in a series of discussions about complex regulatory, compliance, and enforcement issues at the forefront of industry and regulatory developments, this episode focuses on the SEC’s priorities relating to private funds, including SEC Chairman Gary Gensler’s recent speech at the ILPA Summit; emerging exam trends including document production, deficiency letters and MNPI concerns; and changes to the exam referral process over the last two years.
Meet Your Episode One Hosts
Marc P. Berger, Simpson Thacher
Partner; former Acting Director and Deputy Director of the SEC’s Enforcement Division and Director of the SEC’s New York Office; former Chief of the Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Allison Scher Bernbach, Simpson Thacher
Senior Counsel, Private Funds; former private equity Chief Compliance Officer; over 20 years of regulatory compliance experience
Michael J. Osnato, Jr., Simpson Thacher
Partner and Head of the Firm’s Funds Regulatory and Investigations group; former Chief of the SEC’s Complex Financial Instruments Unit
Robert Ingwer, ACA Group
Principal Consultant, Investment Adviser Division; compliance executive offering over 10 years’ experience building, supporting and leading advisory businesses in both private equity and fixed income
Contact Us
To learn more, visit us at https://www.stblaw.com/regulatory-roundtable-podcast and https://www.acaglobal.com. If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com.
This podcast was recorded and is being made available by Simpson Thacher and ACA Group for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher and ACA expressly disclaim all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher and ACA make no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher or ACA Group.
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