Asset Management Corner
The Asset Management Corner, hosted by Andrew Dean and Chris Mulligan, is a podcast that dives deep into SEC examinations, enforcement actions, and regulatory trends impacting investment advisers, private fund managers, and other financial professionals. Each episode focuses on practical insights and compliance issues relevant to the asset management industry.
Episodes
Season 2, Episode 9: Words and Action: A Fall Playbook of Speeches, Risk Alerts, and Rulemaking
In this episode of Asset Management Corner, Chris and Andrew discuss speeches from the heads of Examinations and Enforcement, an SEC “risk alert” on annual reviews, and the highly anticipated proposed rulemaking on pay to play. They are then joined by Joann Harris, a partner and CCO at TPG, and former SEC great, to discuss her transition to becoming a CCO, how to build and maintain an effective co
Season 2, Episode 8: Back to School: SEC’s Director of Enforcement on Public Companies, Private Funds, Valuation, Exams, and College Football
In a first for the podcast, Andrew and Chris are joined by the SEC’s Director of the Division of Enforcement, David Woodcock. David talks about his return to the SEC, his first months in the position, the creation of a new Unit focusing on financial reporting and accounting, the observer effect on the market, the interplay of Exams and Enforcement, the role played by private funds, and his LSU foo
Season 2, Episode 7: SEC Enforcement Gets Reinforcements, Liquidity Solutions, and World Cup Results
In this episode of Asset Management Corner, Chris and Andrew discuss the SEC's rulemaking agenda, the return of Os Nawaz to the SEC as the new principal Deputy Enforcement Director, and a recent enforcement action involving an ETF. They also take stock of their World Cup predictions. Then they are joined by Danek Freeman, a partner in Weil's Banking and Finance practice where he talks about the fa
Season 2, Episode 6: The Feds Are Here: DOJ Interest in Prediction Markets and Valuation Concerns. (And Knicks Talk)
In this episode of Asset Management Corner, Andrew and Chris discuss two recent Supreme Court cases, Exam’s risk alert involving economic conflicts of interest, the new Enforcement Director’s first speech, and the first charges by this Commission of the whistleblower protection rule (Rule 21F-17). They are then joined by their first government guest: Andrew Thomas, Co-Chief of the Securities and
Season 2, Episode 5: Place Your Bets: Prediction Markets Go Mainstream and Form PF Changes
In this episode of Asset Management Corner, Andrew and Chris share additional observations on the proposed Form PF amendments, discuss the recent arrest of a U.S. soldier accused of “insider trading” tied to the removal of a foreign head of state, and explore how advisers should address prediction markets in their compliance programs. They are then joined by Maryellen Maurer, Managing Director at
Season 2, Episode 4: New Enforcement Director, New Rulemaking, Linen Suits, and the “Soccer” World Cup
In this episode of Asset Management Corner, Andrew and Chris discuss the announcement of David Woodcock as the new SEC Enforcement Director, the proposed amendments to Form PF, and some notable enforcement actions. Then they are joined by Adam Huckle, a partner in Maples Group’s Regulatory & Financial Services and Dispute Resolution & Insolvency teams in the Cayman Islands. The guys discus
Season 2, Episode 3: SEC Exams, Private Funds Enforcement, and…The Pitt
In this episode of Asset Management Corner, Andrew and Chris discuss another important Enforcement action involving a private fund adviser, the new SEC Enforcement Manual, and Enforcement Director Ryan’s first speech. Then they speak with Pete Driscoll, partner at PWC and former head of the Division of Examinations, to reflect on the evolution of Exams, discuss the SEC’s policymaking agenda, and a
Season 2, Episode 2: Predicting the Future: AI, Corporate Cooperation, Prediction Markets, and Super Bowl Picks
In this Super Bowl edition of Asset Management Corner, Andrew and Chris discuss SEC Director Brian Daly's speech on AI, U.S. Attorney Jay Clayton's interview at the recent Securities Docket conference, where he made news on prediction markets and corporate cooperation, and Andrew’s and Chris’s picks for the big game. They then catch up with friends and colleagues Robert Baker from ACA Group (and a
Season 2, Episode 1: Private Markets: Now Serving, Retail
In this season two premiere episode of the Asset Management Corner podcast, Andrew Dean and Christopher Mulligan reconnect with former SEC colleague Michael Spratt, who is now a leader at the Investment Company Institute, to discuss the retailization of private funds, among other topics. Andrew and Chris also break down some Marketing Rule updates, including the infamous footnote 590, and this Com
Episode 7: Nothing Ventured, Nothing Gained: VC, Crypto, and Silicon Valley
In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan sit down with Scott Walker, the Chief Compliance Officer at Andreessen Horowitz (aka a16z) to discuss all things VC and crypto. Scott’s varied background, including as the SEC’s expert on digital assets and blockchain technology, gives him a unique perspective on the intersection of compliance and crypto. Andrew and Chris a
Episode 6: Put the Word Out: The SEC Is Back Up
In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan discuss how the SEC has hit the ground running after a record-breaking federal government shutdown. Andrew and Chris discuss what that means, and give their first take on the newly released priorities from the Division of Examinations. Later, Andrew Chizzik and Stephanie E. Srulowitz, Co-Heads of Weil’s Private Funds Practi
Episode 5: The Shutdown Episode
In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan discuss how the federal government shutdown impacts the SEC, even if it is short lived, and how we did not see the SEC bring the typical flurry of enforcement actions at the end of its fiscal year. Later, Tana Ryan, a partner in Weil’s Private Equity practice and the Managing Partner of Weil’s Los Angeles office, joins them
Episode 4: Putting the Intelligence in AI
In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Weil’s own Olivia Greer to discuss how advisers should be thinking about artificial intelligence. They take on all things AI, including the intersection of federal, state, and foreign laws and regulations; policies and procedures; recording keeping; SEC Enforcement and Examinations interest; and the connection
Episode 3: Welcoming the Podfather and New SEC Director of Enforcement
In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Patrick Hayes, the podfather of securities compliance podcasts. They discuss Patrick’s NSCP podcast; the SEC’s new Director of Enforcement and coming changes; a very active Division of Examinations; how SEC enforcement actions impact industry compliance and SEC examinations; and advisers’ focus on the retaili
Episode 2: Retailization, AI, and the SEC’s Private Funds Unit
In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Igor Rozenblit and Jennifer Duggins, senior compliance professionals and former examiners from the SEC’s Private Funds Unit. They explain the PFU’s role within the Division of Examinations at the SEC, and discuss hot topics of the day, including the retailization of private funds and compliance in the world of
Episode 1: Change is Afoot!
In the inaugural episode of Asset Management Corner, former senior SEC officials Andrew Dean and Chris Mulligan dive into the sweeping changes underway at the SEC. From new leadership and shifting exam priorities to upcoming rules and enforcement trends, this episode offers expert insights into what compliance officers, fund managers, and legal professionals should expect in the months ahead. Andr
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