The Regulatory Roundtable
The Regulatory Roundtable is a quarterly podcast from Simpson Thacher, a law firm, featuring conversations with leading regulatory and enforcement lawyers. The show examines important policy, exam, and enforcement issues affecting funds and the asset management industry, with a focus on increased scrutiny from the SEC and other agencies. Each episode explores complex regulatory and compliance challenges through the insights of attorneys with deep knowledge of the funds regulatory landscape.
Episodes
At the Table: The SEC's New Era of Rulemaking and Exam Priorities
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 ac
At the Table: SEC’s Focus on Artificial Intelligence
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:5/2/24 SEC Examination Le
At the Table: Exploring the SEC’s Recently-Adopted Private Fund Adviser Rules
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 enforc
At the Table: Exams and Enforcement – Focusing on Private Funds
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,
At the Table: Navigating the Global ESG Regulatory Landscape
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. T
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 Your Episode Three Hosts:David W. Blass, Simpson ThacherPartner; formerly served as General Counsel of the Investment Company Institute and also held senior
At the Table: Discussing the SEC’s March Towards Granular Oversight of the Private Funds Industry
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 HostsDavid W. Blass, Simpson ThacherPartner; formerly served as General Counsel of the Investment Company Institute and also held senior roles for over a de
At the Table: Diving into the Regulatory Environment for Private Funds Following Chairman Gensler's Recent Remarks
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 change
Welcome to 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 t
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