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

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Have a topic or a question you would like to hear covered?

Additional Resources

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Five Key Takeaways from ACA’s Boston Hedge Fund Briefing

ACA’s Hedge Fund Practice hosted a breakfast event in Boston with local CCOs, with a fireside chat with senior staff from the Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) and Division of Enforcement. The SEC staff discussed priorities pursued by OCIE and Enforcement, the SEC’s use of data analytics, challenges related to deficiencies (or a lack there of) stemming from exams, and expectations around firm’s trade surveillance policies, procedures, and practices. Read our key takeaways.

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  • Compliance
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Returning from summer holidays – A prudential year-end “to do” list

Leaving annual review prudential regulatory preparations until December creates a last-minute crush of work, and may result in key areas being overlooked. We discuss the importance of reviewing and refreshing prudential programmes in a timely manner

Article
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  • FCA
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CSSF Brexit preparations: Action required for AIFMs, MiFID firms and UCITS firms

The Luxembourg regulator, (the CSSF) has outlined provisions to allow for contract continuity of existing relationships established and serviced via passporting rights under various EU directives for 12 months. Application deadline is 15 September 2019. What does this mean for financial services firms?

Compliance Alert
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Delivering on SM&CR – Do firms need to move faster?

Poll findings reveal that less than 2% of firms ready for the Senior Managers & Certification Regime, which comes into force in less than 100 days. It's clear that solo-regulated firms must accelerate the pace at which they are preparing for regulation ahead of 9 December implementation but is the work required ahead of the deadline being underestimated?

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  • Compliance
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When it Comes to Compliance, is Ignorance Bliss or a Potential Liability?

With a raft of regulatory changes coming into force over the last few years, financial firms have incurred many system, process, policy and procedure changes. Overseeing and managing all of the moving pieces presents a challenge for compliance teams. How can Senior Management and Compliance Officers be confident that their governance, risk, and compliance framework is current, sufficiently comprehensive and ultimately effective to avoid regulatory scrutiny?

Article
  • Compliance
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FCA Raises Further Concerns on Access to Inside Information

Following the conviction of a former compliance officer of a major investment bank, the FCA raises concerns on the control of access to inside information. We examine the regulator's findings and recommendations, and what this means for financial services firms.

Compliance Alert
  • Compliance