The Regulatory Roundtable
Simpson Thacher invites you to The Regulatory Roundtable, a quarterly podcast series offering insight from leading regulatory and enforcement lawyers. 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. Each episode will feature leading attorneys 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. The Regulatory Roundtable. To hear about future episodes, be sure to follow the show in your favorite podcast app. To learn more about our discussion or to reach out with questions or topics you would like to hear about on a future podcast, visit our website at RegulatoryRoundtablePodcast.com. We look forward to hearing from you. This podcast was recorded and is being made available by Simpson Thacher 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 expressly disclaims 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 makes 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.
Episodes
This episode delves into the SEC’s current Commission, now a 3-1 majority, its application of regulations in rulemaking and exam priorities, and its approach to exam remediation. We examine impacts of new directors, recent asset management enforcement actions and overall trends, what we are seeing in exams within the context of registered funds and private funds, and the meteoric rise of retail access to alternative funds which we ...
In the latest episode of The Regulatory Roundtable, co-produced with Simpson Thacher’s The Funds Channel, we discuss the SEC’s focus on artificial intelligence, including in exams and the recent settlements with two investment advisers in connection with their statements regarding their use of artificial intelligence, and considerations for looking ahead.
Episode Resources:
This episode focuses on the SEC’s new and amended rules targeting private fund advisers, which were adopted on August 23. In addition to reviewing the rules’ requirements—including some significant modifications from the rules that were proposed in February 2022—we discuss our expectations for fund advisers under the new rules and the ongoing litigation challenging them, as well as exam and enforcement observations.
Episode Reso...
In the latest episode of The Regulatory Roundtable, join us as we take a bird’s eye view of the current SEC private funds environment and what’s to come. Outlining policy and rulemaking, the increasingly challenging exam program, and the state of play on enforcement, we discuss the return to private funds as a marquee exam and enforcement priority.
Meet Your Episode Hosts:
Marc P. Berger, Simpson Thacher
Partner; fo...
In this episode we discuss global ESG trends and evolving regulatory frameworks, including the recent increase of proposed legislation in the U.S. concerning ESG investments; the SEC climate disclosure rule proposed on March 21, 2022; and the scope of reporting obligations under the EU Sustainable Finance Disclosure Regulation (SFDR), Corporate Sustainability Reporting Directive (CSRD), and U.K. Task Force on Climate-Related Financ...
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 de...
This 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 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
Meag...
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...
Simpson Thacher invites you to The Regulatory Roundtable, a quarterly podcast series offering insight from leading regulatory and enforcement lawyers.
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.
Each e...
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