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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The Changing Compliance Landscape for Venture Capital & Other Private Markets Fund Managers

Although many venture capital firms in the U.S. today are exempt reporting advisers (ERAs), scrutiny of these firms has increased.

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2021: The Year in Review

As you look ahead to 2022, here are a few of 2021’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.

Compliance Alert
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The UK National Security and Investment Act 2021 – sneaking into force early 2022

The UK National Security and Investment Act of 2021 (NSI) comes into force on 4 January 2022. It allows the UK Government to scrutinise and block any acquisition they feel may harm national security. Learn how this impacts your firms future acquisition plans:

Compliance Alert
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Key Regulatory Timelines for 2022

To help firms prepare for the new year, we’ve created a simple visual timeline of key financial services regulatory milestones for you to download, keep, and reference throughout 2022.

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  • Brexit
  • SEC
  • Managed Services
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ACA Group Named Best Regulatory Consultancy - North America by RegTech Insight

ACA is honored to be voted Best Regulatory Consultancy - North America in the RegTech Insight Awards 2021 USA.

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FCA Market Watch 68: Mind the Surveillance and Compliance Gaps!

The FCA's recent Market Watch 68 focuses on web-based trading platforms and the rates and fixed income products traded on them, and flags concerns about gaps in surveillance, monitoring and reporting. Read our guidance on what this means for firms

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  • Trade & Transaction
  • Managed Services