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 three

Tune in as Simpson Thacher Partners David Blass, Meaghan Kelly, and Owen Lysak discuss the emergence of new ESMA marketing guidelines; compliance with the SEC’s new marketing rule coming into effect November 4, 2022; and key takeaways of interest for sponsors operating in the EU and the U.S.

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

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