Shows
The Regulatory RoundtableAt the Table: Tackling Implementation of ESMA Marketing Guidelines and the SEC Marketing RuleIn 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 ThacherPartner; 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 ThacherPartner; specializes in advising fund managers with respect to SEC exam...2022-09-2949 minThe Regulatory RoundtableAt the Table: Discussing the SEC’s March Towards Granular Oversight of the Private Funds IndustryThis episode focuses on the SEC’s February 9 proposed rules targeting private equity and private funds; the SEC’s January 26 proposed amendments to Form PF; and the Division of Examinations risk alert published January 27.Meet Your Episode Two HostsDavid W. Blass, Simpson ThacherPartner; formerly served as General Counsel of the Investment Company Institute and also held senior roles for over a decade at the SECMeaghan A. Kelly, Simpson ThacherPartner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enfo...2022-03-0240 minThe Regulatory RoundtableAt the Table: Diving into the Regulatory Environment for Private Funds Following Chairman Gensler's Recent RemarksThe 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 HostsMarc P. Berger, Simpson ThacherPartner; former Acting Director and Deputy Director of the SEC’s Enforcement Division and Direct...2021-12-0226 min