Asset Management Enforcement and Examinations

Publications

Upcoming Events

Recent Events

  • Everyone Has Them: Identifying, Disclosing, and Managing Conflicts of Interest Under Your Fiduciary Duty
    5-6 March 2020
    Investment Adviser Association
    IAA Investment Adviser 2020 Compliance Conference
    Washington, DC
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Changes and Challenges: The SEC View From the Top
    25 October 2019
    State Bar of Georgia/Business Law Section
    Securities Litigation and Regulatory Practice
    Atlanta, Georgia
    Speaker: Julie M. Riewe
    Speaking Engagements
  • The SEC’s Focus on Investor Protection: RICs on the Radar of OCIE and Enforcement
    17-20 March 2019
    Investment Company Institute
    ICI 2019 Mutual Funds and Investment Management Conference
    San Diego, California
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Hot Trends in DOJ and SEC Enforcement and Litigation
    5 December 2018
    Sandpiper Partners LLC
    Breakfast and Educational Briefing
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Tips for Corporate/Regulatory Attorneys to Add Value in Regulatory Examinations and Investigations
    23 October 2018
    D.C. Bar
    D.C. Bar CFSL Program
    Washington, D.C.
    Speaker: Julie M. Riewe
    Speaking Engagements
  • SEC Inspections and Examinations of Private Hedge and Equity Funds
    9 October 2018
    Practising Law Institute
    Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Diligence & Compliance
    13 September 2018
    Exiger
    Exiger’s PE Roundtable Dinner on Diligence & Compliance
    New York, New York
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Who is an Investment Adviser; Regulatory Jurisdiction
    25 June 2018
    Practising Law Institute
    PLI’s Fundamentals of Investment Adviser Regulation 2018
    New York, New York
    Speaking Engagements
  • Fiduciary Investment Advice: Litigation and Enforcement Perspectives
    10 May 2018
    Practising Law Institute
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • What’s New? OCIE and Enforcement under Chairman Clayton
    7 December 2017
    Investment Company Institute
    2017 Securities Law Procedures Conference
    Washington, D.C.
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Panel Discussion
    6 November 2017
    Regulatory Compliance Association
    RCA’s Women in Asset Management & Regulation Summit
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Current Issues in Wealth Management & Investment Advisory
    11 November 2017
    Securities Industry and Financial Markets Association
    Compliance & Legal New York Regional Seminar
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Who is an Investment Adviser; Regulatory Jurisdiction
    26 June 2017
    Practising Law Institute
    New York, New York
    Speaking Engagements
  • Building a Portfolio
    27 April 2017
    American College of Investment Counsel
    Spring Investment Forum – Off the Beaten Path: Navigating the Peaks and Valleys of Investments and Regulatory Compliance
    Chicago, Illinois
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Internal Investigations: A Simulation
    19-22 March 2017
    Securities Industry and Financial Markets Association
    2017 SIFMA Compliance & Legal Society Annual Seminar
    San Diego, California
    Speaker: Julie M. Riewe
    Speaking Engagements
  • An Anatomy of Recent SEC Enforcement Settlements
    7 March 2017
    International Bar Association
    18th Annual International Conference on Private Investment Funds
    London, UK
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Valuation Best Practice and Other SEC Focus Areas
    28 February 2017
    Institutional Investor
    Legal Forum/Winter Roundtable
    New York, New York
    Speaking Engagements
  • Prosecutors Panel: Lifecycle of a Parallel Matter
    31 May 2016
    Securities and Exchange Commission
    SEC’s Market Abuse Unit Conference
    Washington, D.C.
    Speaker: Winston M. Paes
    Speaking Engagements
  • View from the Regulators: 2016 Enforcement Priorities for Private Equity and Hedge Funds
    5 April 2016
    American Conference Institute
    American Conference Institute: 3rd Summit on FCPA, AML & OFAC Risks
    New York, NY
    Speaker: Winston M. Paes
    Speaking Engagements
  • The Balancing Act: Narrow and Effective Internal Investigations that Avoid Boiling the Ocean
    19-20 October 2015
    Corporate Counsel
    9th Annual Hedge Fund General Counsel and Compliance Officer Summit
    New York, NY
    Speaker: Winston M. Paes
    Speaking Engagements