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At the Table: Tackling Implementation of ESMA Marketing Guidelines and the SEC Marketing Rule
Episode 329th September 2022 • The Regulatory Roundtable • Simpson Thacher & ACA Group
00:00:00 00:49:15

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In this episode we 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. 

Meet Your Episode Three Hosts:

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 A. Kelly, Simpson Thacher

Partner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enforcement investigations

Owen Lysak, Simpson Thacher

Partner; leads the Firm’s European financial services and funds regulatory practice, advising private funds and alternative asset managers on complex U.K. and EU financial regulatory matters

Contact Us

To learn more, visit us at www.regulatoryroundtablepodcast.com and www.acaglobal.com/regulatory-roundtable-podcast. If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com


This podcast was recorded and is being made available by Simpson Thacher and ACA Group for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher and ACA expressly disclaim all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher and ACA make no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher or ACA Group.