AIMA Regulatory Deep Dive Programme - U.S.
During this session, Dechert partners, Karen Anderberg and Anthony Kelly, will be discussing the Office of Compliance Inspections and Examination’s Private Fund Adviser Risk Alert, LIBOR and the U.S. Securities and Exchange Commission, and the OCIE COVID-19 Compliance Risks and Considerations Alert.
In particular, we will look at:
- The issues raised in OCIE’s examinations of registered investment advisers that manage private equity funds or hedge funds;
- Related recent enforcement actions;
- The SEC’s examination initiative on LIBOR transition preparations;
- OCIE’s recommendations in the context of COVID-19, including with regard to protection of investors’ assets, supervision of personnel, business continuity and the protection of investor information.
- Karen Anderberg, Partner, Dechert LLP
- Anthony Kelly, Partner Dechert LLP
AIMA Regulatory Deep Dive Programme
AIMA are hosting a programme of country-specific regulatory review sessions that cover the changes in the relevant country’s regulation and enforcement in the trailing six months and any pending or future country-specific developments that are anticipated in the next six months.
Each session will cover topics with respect to the country providing requirements, guidance, enforcement that affects solely asset managers that are established there. The sessions will be of interest to manager members who would be interested in that country because they:
- Manage or sub-manage funds established in that country;
- Market funds or portfolio management services in that country; or
- Invest in issuers established in that country or traded in that country.