The first in a series of discussions about complex regulatory, compliance, and enforcement issues at the forefront of industry and regulatory developments, this episode focuses on the SEC’s priorities relating to private funds, including SEC Chairman 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.
Meet Your Episode One Hosts
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, Investment Adviser Division; compliance executive offering over 10 years’ experience building, supporting and leading advisory businesses in both private equity and fixed income
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