The Regulatory Roundtable Podcast
ACA Group and Simpson Thacher invite you to our new podcast series, The Regulatory Roundtable, a quarterly podcast offering insight from leading regulatory and enforcement lawyers and compliance specialists. Each episode will feature leading attorneys and compliance specialists with deep knowledge of the funds regulatory landscape who will explore today’s most complex regulatory and compliance issues. We look forward to having you join us at the table.
Episode two
This episode focuses on the SEC’s February 9th proposed rules targeting private equity and private funds; the SEC’s January 26th proposed amendments to Form PF; and the Division of Examinations risk alert published January 27th.
Featured Speakers
- David W. Blass, Simpson Thacher
Partner; formerly served as General Counsel of the Investment Company Institute and also held senior roles for over a decade at the SEC - Meaghan Kelly, Simpson Thacher
Partner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enforcement investigations - 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, ACA Group; compliance executive offering over 10 years’ experience building, supporting and leading advisory businesses in both private equity and fixed income
Additional Resources
- SEC Proposes Sweeping Changes Affecting Private Fund Managers
- SEC’s Examination Division Shares Observations Relating to Common Deficiencies Uncovered in Private Fund Manager Examinations
- SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
- SEC Proposes Amendments to Private Fund Reporting
Browse all ACA Compliance Insights and Alerts here
Previous Episodes
Episode one
This inaugural episode focuses on the SEC’s priorities relating to private funds, including SEC Chair 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.
Featured Speakers
- 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, ACA Group; compliance executive offering over 10 years’ experience building, supporting and leading advisory businesses in both private equity and fixed income
Listen to the trailer
About The Regulatory Roundtable
With increased regulatory scrutiny from the SEC and other agencies, staying on top of regulatory trends has never been more important. This podcast will take you behind the scenes on important policy, exam and enforcement issues affecting funds and the asset management industry.
Listen now on your favorite podcasting app and subscribe for new episodes
To hear about future episodes, be sure to follow the show in your favorite podcast app or subscribe to receive email updates here.
Have a topic or a question you would like to hear covered?
Submit your questions here or contact our podcast team at [email protected].
Additional Resources
Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting
Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.
- Compliance
- Trade & Transaction
- RegTech
Regulatory Update Summer 2022
This edition provides unique insights on regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.
- SEC
- Compliance
SEC Announces Marketing Rule Compliance as Exam Priority
With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.
- SEC
- SEC Marketing Rule
- Compliance
Interval Funds Basics
In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.
- Compliance
- Distribution
FCA Releases Final Rules on the Use of Appointed Representatives
The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.
- Compliance
FCA's Latest Dear CEO Letter: Is the Devil in the Detail?
The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.
- Compliance