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

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
 

The Regulatory Roundtable

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. 

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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

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FINRA 2022 Risk Monitoring and Examination Priorities

The report identifies applicable rules and related compliance considerations for broker-dealers, summarizes recent exam findings, and describes best practices.

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Impact of Proposed Regulations on Real Estate Advisers

The SEC staff under Chair Gary Gensler have been busy developing a raft of proposed new rules that could have big implications for real estate advisers, in particular those that are vertically integrated.

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