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coping with regulatory change

Rapid-Fire, Nuts & Bolts Tips from Former Regulators Now in the Private Sector

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Luis Mejia, Partner, Perkins Coie, Washington, D.C.; Walter Ricciardi, Partner, Paul, Weiss, Rifkind, Wharton & Garrison, New York; and Bruce Karpati, Global CCO/Director, KKR, New York provided their view, now that they are on the other side. You […]

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The Asset Management Unit: Reflecting and Moving Ahead

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Anthony Kelly, Assistant Director, SEC’s Asset Management Unit, shared some of the activities of this part of the Securities and Exchange Commission. For fees, the Unit is looking mis-allocation of private equity fees and expenses and whether the […]

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Discover the Priorities and Perspectives of the Office of Compliance Inspections and Examinations

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Marc Wyatt, Director, SEC’s Office of Compliance Inspections and Examinations, gave his perspective on the priorities that lie ahead for OCIE. Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations last week. He emphasized that […]

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Investment Management: What’s Next on the Rulemaking Front

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are  my brief notes. Norm Champ, Investment Management Law Lecturer at Harvard Law School and former SEC IM Division Director, New York; and Robert Plaze, Partner, Stroock & Stroock & Lavan, Washington, D.C. came ready to talk about a broad range of […]

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Red-Hot SEC Enforcement Priorities

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. William McLucas, Mark Schonfeld and Frank ______ spoke on what is happening on the enforcement side of the Securities and Exchange Commission. The Madoff fraud and the 2008 financial crisis are still driving forces for SEC enforcement. The […]

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coping with regulatory change

Coping With Regulatory Change – Office of Investor Advocate

I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Rick Fleming, Director of the Office of Investor Advocate at the Securities and Exchange Commission, started with a keynote. His office and position was created by Dodd-Frank. He currently has a staff of ten people. (One of the […]

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Private fund Compliance forum

What To Expect From The SEC In The Year Ahead

These are my notes, live from the forum. (Please pardon the rougher nature.) Speaker: Marc Wyatt , Deputy Director -Office of Compliance Inspections and Examination, US Securities and Exchange Commission (Of course, his comments are his own and don’t represent the viewpoints of the Commission or the rest of the staff.) This also only his […]

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Private fund Compliance forum

Ensuring Compliance in Your Marketing and Advertising Procedures

These are my notes, live from the forum. (Please pardon the rougher nature.) Speaker: Julia D. Corelli, Partner, Pepper Hamilton Ross A. Oliver, Senior Counsel & Chief Compliance Officer, Crestview Partners Gwen Reinke, Chief Compliance Officer, Vista Equity Partners You need to think of marketing as a broader area than advertising. Deal press releases and […]

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Private fund Compliance forum

Cybersecurity and Risk Management

These are my notes, live from the forum. (Please pardon the rougher nature of this report.) Speakers: Terry E. Everett, CFO & COO, Rockland Capital Garth Nichols, Senior Manager- Financial Services, EY Christopher Anderson, CCO & General Counsel, KPS Capital Partners LP First step is to figure out what you want to protect. For private […]

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Private fund Compliance forum

The SEC Exam: What We’ve Learned from Recent Exams

These are my notes, live from the forum. (Please pardon the rougher nature.) Speakers: Jason Brown, Partner, Ropes & Gray James Gaven, Senior Counsel and Chief Compliance Officer ,Welsh, Carson, Anderson & Stowe Byron Pavano, COO & Fund Counsel, Audax Group Abrielle Rosenthal, Managing Director, Chief Compliance Officer, TowerBrook Capital Partners LP The new registrant […]

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