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

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
 

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?

Additional Resources

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Surviving the Macro-Economic Superstorm

Macroeconomic trends are coming together to create a “superstorm” making it difficult for the financial industry to find and retain talent, creating compliance risks for firms. What are the practical solutions to address these challenges?

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Private Markets Quarterly Update: Q3 2022

Learn more about recent regulatory developments and industry insights in our Private Markets Quarterly Newsletter.

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Hedge Fund Quarterly Update Q3 2022

We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.

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SEC Examination Trends Report

We share our observations concerning the SEC's Division of Examinations' public priorities and our insights and practical considerations from recent exams.

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SEC Sends $1.1 Billion Warning to Financial Firms that Ignore Record-keeping Requirements

$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.

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FAQs: Top Questions Answered About the SEC's Marketing Rule

As the compliance date of November 4th nears, confusion about the SEC's new Marketing Rule continues. We answer the most commonly asked questions about the requirements of the rule.

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  • SEC Marketing Rule
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