How the SEC Regulates Private Funds
With a change in administration, it’s never been more important to understand exactly how the SEC regulates private funds.
We’ll go behind the scenes with top current and former SEC officials with specific oversight of the private fund industry as they explain how the SEC operates. This unique look at the SEC will cover how the Commission is structured - the roles of different divisions and offices – and how rules, regulations and guidance are formulated and ultimately enforced.
• Michael C. Neus, Private Funds Attorney Fellow, U.S. Securities and Exchange Commission
• C. Dabney O'Riordan, Co-Chief, Asset Management Unit, Division of Enforcement at U.S. Securities and Exchange Commission
• John H. Walsh, Partner, Eversheds Sutherland, Former Director, Division of Examinations (previously OCIE), U.S. Securities and Exchange Commission
• Terrance J. O’Malley, Principal, TJO Management
• Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA
CLE credit is approved in CA, GA, NE, NY, PA and TX. CLE credit is pending in IL and VA. An individual attorney application may be required for attorneys licensed outside these states. Please check with your respective state bar(s) for confirmation.
Reminder: distance learning courses should be attended in an educational setting that is free from distractions.How the SEC Regulates Private Funds CLE Sign-in Sheet (04.06.21).pdf How the SEC Regulates Private Funds Webcast Evaluation Form (04.01.21).pdf