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The Regulatory Roundtable Podcast

The Regulatory Roundtable is a podcast hosted by Simpson Thacher and ACA Group. Each episode features leading attorneys and compliance specialists with deep knowledge of the funds regulatory landscape and takes you behind the scenes on important policy, exam and enforcement issues affecting funds and the asset management industry. With increased regulatory scrutiny from the SEC and other agencies, staying on top of regulatory trends has never been more important. We look forward to having you join us at the table.


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In This Episode:

At the Table: Tackling Implementation of ESMA Marketing Guidelines and the SEC Marketing Rule

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 the Hosts of Episode 3

David Blass 
David W. Blass
Partner
Simpson Thacher
Meaghan Kelly
Meaghan A. Kelly
Partner
Simpson Thacher
Owen Lysak
Owen Lysak
Partner
Simpson Thacher
“It’s not quite that you get explicit conflict between the two regimes, but there’s going to be push and pulls around market practice and expectations.”

Previous Episodes

Episode 2:

At the Table: Discussing the SEC’s March Towards Granular Oversight of the Private Funds Industry

This episode focuses on the SEC’s February 9th proposed rules targeting private equity and private funds; the SEC’s January 26th proposed amendments to Form PF; and the Division of Examinations risk alert published January 27th.

Meet the Hosts of Episode 2

David Blass 
David W. Blass
Partner
Simpson Thacher
Meaghan Kelly
Meaghan A. Kelly
Partner
Simpson Thacher
Michael J. Osnato, Jr.
Michael J. Osnato, Jr.
Partner
Simpson Thacher
Robert Ingwer
Robert Ingwer
Principal Consultant
ACA Group

Episode 1:

At the Table: Diving into the Regulatory Environment for Private Funds Following Chairman Gensler’s Recent Remarks

This inaugural 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 the Hosts of Episode 1

Marc P. Berger 
Marc P. Berger
 Partner
 Simpson Thacher
Allison Scher Bernbach
Allison Scher Bernbach
Former Senior Counsel
Simpson Thacher 
Michael J. Osnato, Jr.
Michael J. Osnato, Jr.
Partner
Simpson Thacher 
Robert Ingwer
Robert Ingwer 
 Principal Consultant
ACA Group 
“Staying abreast of what's happening at the SEC has never been more important from a compliance and reputational perspective.”

Additional Resources

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        The Regulatory RoundTable Podcast
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        Share Your Feedback and Questions for the Podcast
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        Josh Levine and Daniel Levien Author NYLJ Article on the Corporate Transparency Act
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        New SEC Risk Alert Focuses on ESG-Related Disclosures and Policies
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        White Paper: Implications of New SEC Marketing Rule for Private Fund Sponsors