Asset Management Enforcement and Examinations

Publications

  • FinCEN Proposes Cutting Off Swiss Bank MBaer’s U.S. Financial System Access
    13 March 2026
    Satish M. Kini
    ,
    Robert T. Dura
    ,
    Aseel M. Rabie
    ,
    Jonathan R. Wong
    ,
    Tealanie Baldwin
  • 2025 Private Equity Midyear Outlook
    July 2025
    Gavin Anderson
    ,
    Christopher Anthony
    ,
    Erik J. Andrén
    ,
    Katherine Ashton
    ,
    Vadim Avdeychik
    ,
    Megan K. Bannigan
    ,
    Dominic Blaxill
    ,
    Geoffrey P. Burgess
    ,
    Ezra Borut
    ,
    Charu A. Chandrasekhar
    ,
    Jane Engelhardt
    ,
    Avi Gesser
    ,
    Peter J. Irwin
    ,
    Eric T. Juergens
    ,
    M. Natasha Labovitz
    ,
    Andrew M. Levine
    ,
    Sidney P. Levinson
    ,
    Jonathan F. Lewis
    ,
    Yana M. Mereminsky
    ,
    Frank Mitchell
    ,
    Gordon Moodie
    ,
    Edwin Northover
    ,
    Brett M. Novick
    ,
    Sheena Paul
    ,
    Benjamin R. Pedersen
    ,
    Marc Ponchione
    ,
    Ryan T. Rafferty
    ,
    William D. Regner
    ,
    Kevin M. Schmidt
    ,
    Scott B. Selinger
    ,
    Thomas Smith
    ,
    Rick Sofield
    ,
    Ramya S. Tiller
    ,
    Patricia Volhard
    ,
    Jennifer Wheater
    ,
    Alison E. Buckley-Serfass
    ,
    Brett Adam Bush
    ,
    Jennifer R. Cestaro
    ,
    Robert T. Dura
    ,
    Paul Eastham
    ,
    Stuart Hammer
    ,
    Lauren P. Heller
    ,
    Douglas M. Hirn
    ,
    Jin-Hyuk Jang
    ,
    Wen-Wei Lai
    ,
    Kate Saba
    ,
    Ulysses Smith
    ,
    Jordan Corrente Beck
    ,
    Michael C. Godbe
    ,
    John Jacob
    ,
    Keith Moshe
    ,
    Amy Pereira
    ,
    Sheng Shao
    ,
    John D. Sullivan Baker
    ,
    Daniel Hyun Gu Yeo
  • Private Equity Report Fall 2024, Vol 24, No 3
    December 2024
    Megan K. Bannigan
    ,
    Ezra Borut
    ,
    Andrew J. Ceresney
    ,
    Charu A. Chandrasekhar
    ,
    Avi Gesser
    ,
    Peter J. Irwin
    ,
    Robert B. Kaplan
    ,
    Rafael Kariyev
    ,
    Julie M. Riewe
    ,
    Kevin M. Schmidt
    ,
    Kristin A. Snyder
    ,
    Rick Sofield
    ,
    Jared I. Kagan
    ,
    Nick S. Kaluk III
    ,
    Johanna N. Skrzypczyk
    ,
    Jordan Corrente Beck
    ,
    Joshua A. Goland
    ,
    Samuel D. Krawiecz
    ,
    Weichi Liu
    ,
    Emily MacKay
    ,
    Elliott Tuchman
    ,
    Chris Zheng
  • SEC Private Fund Adviser Enforcement FY 2024 Highlights
    December 2024
    Andrew J. Ceresney
    ,
    Charu A. Chandrasekhar
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Kristin A. Snyder
  • 2024 Private Equity Midyear Outlook
    August 2024
    Christopher Anthony
    ,
    Katherine Ashton
    ,
    Dominic Blaxill
    ,
    Ezra Borut
    ,
    Geoffrey P. Burgess
    ,
    Andrew J. Ceresney
    ,
    Christopher Dortschy
    ,
    Jane Engelhardt
    ,
    Andrew Ford
    ,
    Mark P. Goodman
    ,
    Jyotin Hamid
    ,
    Morgan J. Hayes
    ,
    Peter J. Irwin
    ,
    Eric T. Juergens
    ,
    Arian M. June
    ,
    Robert B. Kaplan
    ,
    M. Natasha Labovitz
    ,
    Andrew M. Levine
    ,
    Sidney P. Levinson
    ,
    Jonathan F. Lewis
    ,
    Gregory J. Lyons
    ,
    Timothy McIver
    ,
    Frank Mitchell
    ,
    Maura Kathleen Monaghan
    ,
    Edwin Northover
    ,
    Brett M. Novick
    ,
    Sheena Paul
    ,
    Marc Ponchione
    ,
    Ryan T. Rafferty
    ,
    Julie M. Riewe
    ,
    Paul D. Rubin
    ,
    Scott B. Selinger
    ,
    Thomas Smith
    ,
    Kristin A. Snyder
    ,
    Rick Sofield
    ,
    Katherine Durnan Taylor
    ,
    Ramya S. Tiller
    ,
    Jonathan R. Tuttle
    ,
    Patricia Volhard
    ,
    Erica S. Weisgerber
    ,
    Jennifer Wheater
    ,
    Naomi Aoyama
    ,
    Alison E. Buckley-Serfass
    ,
    Brett Adam Bush
    ,
    Jennifer R. Cestaro
    ,
    Robert T. Dura
    ,
    Paul Eastham
    ,
    Stuart Hammer
    ,
    Lauren P. Heller
    ,
    Jin-Hyuk Jang
    ,
    Wen-Wei Lai
    ,
    Melissa Runsten
    ,
    Tricia Bozyk Sherno
    ,
    Jacob W. Stahl
    ,
    John Young
    ,
    Ulysses Smith
    ,
    Kayleigh Anderson
    ,
    Hymie A. Anteby
    ,
    Jabari Benjamin
    ,
    Josephine Chen
    ,
    Jordan Corrente Beck
    ,
    Julia Needle
    ,
    Michael C. Godbe
    ,
    Zoe Jacoby
    ,
    Yiran Ji
    ,
    Adriana Kranjac Rielly
    ,
    Paul D. Lowry
    ,
    Kaitlyn McGill
    ,
    Amy Pereira
    ,
    Eike Björn Weidner
    ,
    Keith Moshe
  • Asset Management M&A: Current Trends and Key Legal Considerations
    November 2023
    Geoffrey P. Burgess
    ,
    Matthew Dickman
    ,
    Gregory V. Gooding
    ,
    William D. Regner
    ,
    Edoardo Troina
  • Private Equity Report Fall 2023, Vol 23, No 3
    November 2023
    Dominic Blaxill
    ,
    Michael Bolotin
    ,
    Geoffrey P. Burgess
    ,
    Charu A. Chandrasekhar
    ,
    Matthew Dickman
    ,
    Avi Gesser
    ,
    Gregory V. Gooding
    ,
    Morgan J. Hayes
    ,
    Sally Bergmann Hardesty
    ,
    Eric T. Juergens
    ,
    Frank Mitchell
    ,
    Brett M. Novick
    ,
    Benjamin R. Pedersen
    ,
    William D. Regner
    ,
    Edward M. Rishty
    ,
    Michael Schaper
    ,
    Kevin M. Schmidt
    ,
    Kristin A. Snyder
    ,
    Katherine Durnan Taylor
    ,
    Ramya S. Tiller
    ,
    Robert T. Dura
    ,
    Caitlin Gibson
    ,
    Stuart Hammer
    ,
    Sarah Wolf
    ,
    Victoria G. J. Brown
    ,
    Adam Silverwood
    ,
    Edoardo Troina
  • 2023 Private Equity Midyear Outlook
    27 July 2023
    Christopher Anthony
    ,
    Katherine Ashton
    ,
    Dominic Blaxill
    ,
    Ezra Borut
    ,
    Geoffrey P. Burgess
    ,
    Andrew J. Ceresney
    ,
    Jeffrey P. Cunard
    ,
    E. Drew Dutton
    ,
    Jane Engelhardt
    ,
    Andrew Ford
    ,
    Mark P. Goodman
    ,
    Jyotin Hamid
    ,
    Ted Hassi
    ,
    Morgan J. Hayes
    ,
    Emily F. Huang
    ,
    Peter J. Irwin
    ,
    Eric T. Juergens
    ,
    Robert B. Kaplan
    ,
    Rafael Kariyev
    ,
    M. Natasha Labovitz
    ,
    Maurizio Levi-Minzi
    ,
    Andrew M. Levine
    ,
    Sidney P. Levinson
    ,
    Jonathan F. Lewis
    ,
    Timothy McIver
    ,
    Frank Mitchell
    ,
    Maura Kathleen Monaghan
    ,
    Edwin Northover
    ,
    Brett M. Novick
    ,
    Marc Ponchione
    ,
    Julie M. Riewe
    ,
    Shannon Rose Selden
    ,
    Steven J. Slutzky
    ,
    Thomas Smith
    ,
    Kristin A. Snyder
    ,
    J. Michael Snypes, Jr.
    ,
    Patrick Taylor
    ,
    Ramya S. Tiller
    ,
    Patricia Volhard
    ,
    Richard Ward
    ,
    Erica S. Weisgerber
    ,
    Alison E. Buckley-Serfass
    ,
    Brett Adam Bush
    ,
    Robert T. Dura
    ,
    Stuart Hammer
    ,
    Sheena Paul
    ,
    Tricia Bozyk Sherno
    ,
    Ulysses Smith
    ,
    Jacob W. Stahl
    ,
    Sergio Torres
    ,
    Jennifer Wheater
    ,
    Elie J. Worenklein
    ,
    Colleen B. Bernaiche
    ,
    Paul Eastham
    ,
    Christopher Gossage
    ,
    Yiran Ji
    ,
    Maryam Kanna
    ,
    Rekha Korlipara Kreider
    ,
    Adriana Kranjac Rielly
    ,
    Samuel D. Krawiecz
    ,
    Megan MacDonald
    ,
    Harshil Mehta
    ,
    Stanley G. Seckler
    ,
    Sheng Shao
    ,
    Massy Vainshtein
    ,
    Kimberly Anker
  • Private Equity Report: 2023 Outlook
    January 2023
    Catherine Amirfar
    ,
    Christopher Anthony
    ,
    Katherine Ashton
    ,
    Jason Auerbach
    ,
    Dominic Blaxill
    ,
    Ezra Borut
    ,
    Kara Brockmeyer
    ,
    Geoffrey P. Burgess
    ,
    Lawrence K. Cagney
    ,
    Andrew J. Ceresney
    ,
    Alexander R. Cochran
    ,
    Eric Dinallo
    ,
    Christopher Dortschy
    ,
    E. Drew Dutton
    ,
    Jane Engelhardt
    ,
    Jyotin Hamid
    ,
    Ted Hassi
    ,
    Morgan J. Hayes
    ,
    Peter J. Irwin
    ,
    Mark Johnson
    ,
    Eric T. Juergens
    ,
    Rafael Kariyev
    ,
    Satish M. Kini
    ,
    M. Natasha Labovitz
    ,
    Henry Lebowitz
    ,
    Maurizio Levi-Minzi
    ,
    Andrew M. Levine
    ,
    Sidney P. Levinson
    ,
    Jonathan F. Lewis
    ,
    Marilyn A. Lion
    ,
    Timothy McIver
    ,
    Benjamin R. Pedersen
    ,
    Marc Ponchione
    ,
    Nicholas F. Potter
    ,
    Ryan T. Rafferty
    ,
    Julie M. Riewe
    ,
    Samantha J. Rowe
    ,
    Paul D. Rubin
    ,
    Scott B. Selinger
    ,
    Jane Shvets
    ,
    Steven J. Slutzky
    ,
    Patricia Volhard
    ,
    Erica S. Weisgerber
    ,
    Alison E. Buckley-Serfass
    ,
    Robert T. Dura
    ,
    Jin-Hyuk Jang
    ,
    Stuart Hammer
    ,
    Sheena Paul
    ,
    Tricia Bozyk Sherno
    ,
    Jennifer Wheater
    ,
    John Young
    ,
    Jeffrey P. Cunard
    ,
    Ulysses Smith
    ,
    Jennifer R. Cestaro
    ,
    Paul Eastham
    ,
    Isabel Espinosa de los Reyes
    ,
    Christopher Gossage
    ,
    Berk Guler
    ,
    Yiran Ji
    ,
    Samuel D. Krawiecz
    ,
    James Lapp
    ,
    Megan MacDonald
    ,
    Emily MacKay
    ,
    Melissa Runsten
    ,
    Sergio Torres
    ,
    Tiffany Wu
    ,
    Massy Vainshtein
  • 2021/2022 Private Equity Year-End Review and Outlook
    January 2022
    Jonathan Adler
    ,
    Catherine Amirfar
    ,
    Christopher Anthony
    ,
    Katherine Ashton
    ,
    Andrew L. Bab
    ,
    Geoffrey P. Burgess
    ,
    Ezra Borut
    ,
    Andrew J. Ceresney
    ,
    Jeffrey P. Cunard
    ,
    Alexander R. Cochran
    ,
    E. Drew Dutton
    ,
    Jane Engelhardt
    ,
    Morgan J. Hayes
    ,
    Eric T. Juergens
    ,
    Maurizio Levi-Minzi
    ,
    Nicholas P. Pellicani
    ,
    Ryan T. Rafferty
    ,
    Julie M. Riewe
    ,
    Scott B. Selinger
    ,
    Marc Ponchione
    ,
    Thomas Smith
    ,
    Ramya S. Tiller
    ,
    Patricia Volhard
    ,
    Richard Ward
    ,
    Christopher Dortschy
    ,
    Emily F. Huang
    ,
    Jennifer Wheater
    ,
    Dominic Blaxill
    ,
    Robert T. Dura
    ,
    Matthew J. Sacco
    ,
    Sheng Shao
    ,
    Sergio Torres
    ,
    Paul Eastham
    ,
    Christopher Gossage
    ,
    Robert B. Kaplan
    ,
    Sheena Paul
    ,
    John Young
    ,
    Jin-Hyuk Jang
    ,
    Lukas Ott
    ,
    Andrew M. Levine
    ,
    Stuart Hammer
    ,
    Ulysses Smith
    ,
    Luke Dembosky
    ,
    Avi Gesser
    ,
    Peter J. Irwin
    ,
    Ina C. Popova
    ,
    Samantha J. Rowe
    ,
    M. Natasha Labovitz
    ,
    Sidney P. Levinson
    ,
    Paul D. Rubin
    ,
    Eric Dinallo
    ,
    Marilyn A. Lion
    ,
    Jacob W. Stahl
    ,
    Nicholas F. Potter
    ,
    Melissa Runsten
    ,
    Matthew Mrozek
    ,
    Michael C. Godbe
    ,
    Christel Y. Tham
    ,
    Lisa Wang Lachowicz
    ,
    Yiran Ji
  • Private Equity Report Spring 2021, Vol 21, No 1
    May 2021
    Christopher Anthony
    ,
    Paul S. Bird
    ,
    E. Raman Bet-Mansour
    ,
    Geoffrey P. Burgess
    ,
    Alexander R. Cochran
    ,
    E. Drew Dutton
    ,
    Gregory V. Gooding
    ,
    David Grosgold
    ,
    Morgan J. Hayes
    ,
    Uri Herzberg
    ,
    Eric T. Juergens
    ,
    Robert B. Kaplan
    ,
    Marilyn A. Lion
    ,
    Edwin Northover
    ,
    Marc Ponchione
    ,
    Nicholas F. Potter
    ,
    Julie M. Riewe
    ,
    Samantha J. Rowe
    ,
    Kevin M. Schmidt
    ,
    James C. Scoville
    ,
    Shannon Rose Selden
    ,
    Scott B. Selinger
    ,
    Steven J. Slutzky
    ,
    Patricia Volhard
    ,
    Matthew Dickman
    ,
    Jin-Hyuk Jang
    ,
    Andrew G. Jamieson
    ,
    Dr. Clare Swirski
    ,
    Spencer K. Gilbert
    ,
    Matthew B. Parelman
    ,
    Brett M. Novick
  • 2020/2021 Private Equity Year End Review and Outlook
    7 January 2021
    Jonathan Adler
    ,
    William D. Regner
    ,
    John W. Rife III
    ,
    Jennifer R. Cestaro
    ,
    Katherine Ashton
    ,
    E. Drew Dutton
    ,
    Jane Engelhardt
    ,
    Thomas Smith
    ,
    Ramya S. Tiller
    ,
    Christopher Anthony
    ,
    Kevin M. Schmidt
    ,
    Maurizio Levi-Minzi
    ,
    Geoffrey P. Burgess
    ,
    Dominic Blaxill
    ,
    Wen-Wei Lai
    ,
    Jyotin Hamid
    ,
    Morgan J. Hayes
    ,
    Steven J. Slutzky
    ,
    Richard Ward
    ,
    Jennifer Wheater
    ,
    Paul Eastham
    ,
    Peter A. Furci
    ,
    Rafael Kariyev
    ,
    Samuel D. Krawiecz
    ,
    Andrew L. Bab
    ,
    Paul D. Rubin
    ,
    Jacob W. Stahl
    ,
    Jyotin Hamid
    ,
    Jonathan F. Lewis
    ,
    Tricia Bozyk Sherno
    ,
    Ezra Borut
    ,
    Jeffrey P. Cunard
    ,
    Marc Ponchione
    ,
    Kenneth J. Berman
    ,
    Patricia Volhard
    ,
    Christopher Dortschy
    ,
    Jin-Hyuk Jang
    ,
    John Young
    ,
    Andrew J. Ceresney
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Sally Bergmann Hardesty
    ,
    Scott B. Selinger
    ,
    Stuart Hammer
    ,
    Luke Dembosky
    ,
    Avi Gesser
    ,
    Jim Pastore
    ,
    Megan K. Bannigan
    ,
    David H. Bernstein
    ,
    M. Natasha Labovitz
    ,
    Sidney P. Levinson
    ,
    Peter J. Irwin
    ,
    Paul S. Bird
  • Private Equity Report Fall 2020, Vol 20, No 3
    December 2020
    Gavin Anderson
    ,
    Christopher Anthony
    ,
    Katherine Ashton
    ,
    Sally Bergmann Hardesty
    ,
    Paul S. Bird
    ,
    Franci J. Blassberg
    ,
    Ezra Borut
    ,
    Erin Cleary
    ,
    Peter A. Furci
    ,
    Maurizio Levi-Minzi
    ,
    Andrew M. Levine
    ,
    John W. Rife III
    ,
    Rebecca F. Silberstein
    ,
    Kevin M. Schmidt
    ,
    Steven J. Slutzky
    ,
    Rafael Kariyev
    ,
    Patricia Volhard
    ,
    Jin-Hyuk Jang
    ,
    John Young
    ,
    Marisa Demko
    ,
    Samuel D. Krawiecz
    ,
    Sergio Torres
    ,
    Wen-Wei Lai
    ,
    Tiffany Wu
    ,
    Shawn Xiao Yang
  • Progressing from Goal to Reality on Diversity, Equity and Inclusion
    December 2020
  • COVID-19 and Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
    8 April 2020
    Robert B. Kaplan
    ,
    M. Natasha Labovitz
    ,
    Sidney P. Levinson
    ,
    Julie M. Riewe
    ,
    Shannon Rose Selden
    ,
    Jonathan R. Tuttle
  • COVID-19 and Private Equity: The Impact of Financing Disruptions on Private Equity Portfolio Companies and Funds
    31 March 2020
    Jonathan Adler
    ,
    Kevin M. Schmidt
    ,
    Scott B. Selinger
    ,
    Rebecca F. Silberstein
    ,
    Thomas Smith
  • FCPA Update September 2018
    28 September 2018
    Kara Brockmeyer
    ,
    Andrew M. Levine
    ,
    Paul D. Rubin
    ,
    Philip Rohlik
    ,
    Colby A. Smith
  • FCPA Update August 2018
    Vol. 9, No. 13
    Kara Brockmeyer
    ,
    Dr. Thomas Schürrle
    ,
    Bruce E. Yannett
    ,
    Alexandre Bisch
    ,
    Frederick T. Davis
    ,
    Philip Rohlik
    ,
    Colby A. Smith
  • FCPA Update July 2018
    Vol. 9, No. 12
    Andrew M. Levine
    ,
    Jane Shvets
    ,
    Bruce E. Yannett
    ,
    Philip Rohlik
    ,
    Colby A. Smith
  • FCPA Update June 2018
    Vol. 9, No. 11
    Andrew M. Levine
    ,
    Philip Rohlik
    ,
    Jane Shvets
    ,
    Robert Maddox
  • FCPA Update May 2018
    Vol. 9, No. 10
    Kara Brockmeyer
    ,
    Andrew M. Levine
    ,
    Karolos Seeger
    ,
    Bruce E. Yannett
    ,
    Philip Rohlik
  • FCPA Update April 2018
    Vol. 9, No. 9
    Kara Brockmeyer
    ,
    Frederick T. Davis
    ,
    Antoine F. Kirry
    ,
    Jane Shvets
    ,
    Alexandre Bisch
  • FCPA Update March 2018
    Vol. 9, No. 8
    Paul R. Berger
    ,
    Kara Brockmeyer
    ,
    Andrew M. Levine
    ,
    Jonathan R. Tuttle
    ,
    Bruce E. Yannett
    ,
    Erich O. Grosz
    ,
    Philip Rohlik
  • FCPA Update February 2018
    Vol. 9, No. 7
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Andrew M. Levine
    ,
    David A. O'Neil
    ,
    Karolos Seeger
    ,
    Jane Shvets
    ,
    Bruce E. Yannett
    ,
    Erich O. Grosz
    ,
    Philip Rohlik
    ,
    Antoine F. Kirry
    ,
    Frederick T. Davis
    ,
    Alexandre Bisch
  • OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs
    13 February 2018
    Jonathan Adler
    ,
    Kenneth J. Berman
    ,
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Rebecca F. Silberstein
    ,
    Jonathan R. Tuttle
  • SEC’s Division of Enforcement Announces Self-Reporting Program for Advisers Who Failed to Disclose Conflicts in Share Class Selection
    13 February 2018
    Kenneth J. Berman
    ,
    Andrew J. Ceresney
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Jonathan R. Tuttle
  • FCPA Update January 2018
    Vol. 9, No. 6
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Andrew M. Levine
    ,
    David A. O'Neil
    ,
    Karolos Seeger
    ,
    Jane Shvets
    ,
    Bruce E. Yannett
    ,
    Erich O. Grosz
    ,
    Philip Rohlik
    ,
    Antoine F. Kirry
    ,
    Frederick T. Davis
    ,
    Alexandre Bisch
  • FCPA Update December 2017
    Vol. 9, No. 5
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Andrew M. Levine
    ,
    David A. O'Neil
    ,
    Karolos Seeger
    ,
    Jane Shvets
    ,
    Bruce E. Yannett
    ,
    Erich O. Grosz
    ,
    Philip Rohlik
    ,
    Antoine F. Kirry
    ,
    Frederick T. Davis
    ,
    Alexandre Bisch
  • 2018 Private Equity Review and Outlook
    21 December 2017
    Jonathan Adler
    ,
    Catherine Amirfar
    ,
    Kenneth J. Berman
    ,
    Paul S. Bird
    ,
    Andrew J. Ceresney
    ,
    Peter A. Furci
    ,
    Robert B. Kaplan
    ,
    Rafael Kariyev
    ,
    Julie M. Riewe
    ,
    Kevin M. Schmidt
    ,
    Thomas Smith
    ,
    Patricia Volhard
  • FCPA Update November 2017
    Vol. 9, No. 4
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Andrew M. Levine
    ,
    David A. O'Neil
    ,
    Karolos Seeger
    ,
    Jane Shvets
    ,
    Bruce E. Yannett
    ,
    Erich O. Grosz
    ,
    Philip Rohlik
  • FCPA Update October 2017
    Vol. 9, No. 3
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Andrew M. Levine
    ,
    David A. O'Neil
    ,
    Karolos Seeger
    ,
    Jane Shvets
    ,
    Bruce E. Yannett
    ,
    Erich O. Grosz
    ,
    Philip Rohlik
  • SEC Leadership Discusses Continuing Priorities
    8 September 2017
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Jonathan R. Tuttle
    ,
    Mary Jo White
    ,
    Arian M. June
  • U.S. Supreme Court Holds SEC Disgorgement Is a Penalty Subject to a Five-Year Statute of Limitations
    7 June 2017
    Mary Jo White
    ,
    Kara Brockmeyer
    ,
    Andrew J. Ceresney
    ,
    Robert B. Kaplan
    ,
    Jonathan R. Tuttle
    ,
    Julie M. Riewe
    ,
    Anna Moody
  • Advisers Beware! OCIE Announces Most Frequent Compliance Topics
    9 February 2017
    Jonathan Adler
    ,
    Kenneth J. Berman
    ,
    Robert B. Kaplan
    ,
    Geoffrey Kittredge
    ,
    Andrew M. Ostrognai
    ,
    Julie M. Riewe
    ,
    David J. Schwartz
    ,
    Rebecca F. Silberstein
    ,
    Jonathan R. Tuttle
    ,
    Michael P. Harrell
  • SEC Charges Exempt Reporting Adviser’s CCO for False Statements in Forms ADV
    24 January 2017
    Jonathan Adler
    ,
    Kenneth J. Berman
    ,
    Geoffrey Kittredge
    ,
    Andrew M. Ostrognai
    ,
    Julie M. Riewe
    ,
    David J. Schwartz
    ,
    Rebecca F. Silberstein
  • Two Decisions Highlight Significant Litigation Challenges for Prosecutors and Regulators
    17 December 2015
    Paul R. Berger
    ,
    Robert B. Kaplan
    ,
    Jonathan R. Tuttle
    ,
    Bruce E. Yannett
  • SEC Settles Action Concerning Adequacy of Policies to Prevent Dissemination of Material Nonpublic Information
    2 December 2015
    Paul R. Berger
    ,
    Kenneth J. Berman
    ,
    Matthew E. Kaplan
    ,
    Robert B. Kaplan
    ,
    Jonathan R. Tuttle
  • The “Yates Memorandum”: Has DOJ Really Changed Its Approach To White Collar Criminal Investigations and Individual Prosecutions?
    15 September 2015
    Helen V. Cantwell
    ,
    Matthew E. Fishbein
    ,
    Bruce E. Yannett
    ,
    David A. O'Neil
    ,
    Paul R. Berger
    ,
    Courtney M. Dankworth
    ,
    Eric Dinallo
    ,
    Mark P. Goodman
    ,
    Mary Beth Hogan
    ,
    Robert B. Kaplan
    ,
    Satish M. Kini
    ,
    Andrew M. Levine
    ,
    Michael B. Mukasey
    ,
    Jim Pastore
    ,
    Colby A. Smith
    ,
    Jonathan R. Tuttle
    ,
    Erich O. Grosz
    ,
    David Sarratt
  • SEC Issues Cybersecurity Guidance for Registered Investment Advisers and Funds
    7 May 2015
    Jim Pastore
    ,
    Kenneth J. Berman
    ,
    Jeffrey P. Cunard
    ,
    Robert B. Kaplan
    ,
    David A. O'Neil
  • Second Circuit Restores Teeth to Insider Trading Personal Benefit Requirement
    11 December 2014
    Paul R. Berger
    ,
    Helen V. Cantwell
    ,
    Eric Dinallo
    ,
    Matthew E. Fishbein
    ,
    Mark P. Goodman
    ,
    Matthew E. Kaplan
    ,
    Robert B. Kaplan
    ,
    Andrew M. Levine
    ,
    Jonathan R. Tuttle
    ,
    Bruce E. Yannett
  • Second Circuit Defers to SEC in Overturning District Court’s Rejection of Settlement with “Neither Admit or Deny” Language
    5 June 2014
    Andrew M. Levine
    ,
    Bruce E. Yannett
    ,
    Paul R. Berger
    ,
    Robert B. Kaplan
    ,
    Colby A. Smith
    ,
    Jonathan R. Tuttle
    ,
    David Sarratt
  • SEC Releases Cybersecurity Examination Roadmap
    22 April 2014
    Kenneth J. Berman
    ,
    Michael P. Harrell
    ,
    Robert B. Kaplan
    ,
    Satish M. Kini
  • The SEC’s Examination Priorities for 2014
    28 January 2014
    Kenneth J. Berman
    ,
    Michael P. Harrell
    ,
    Robert B. Kaplan
    ,
    Jonathan R. Tuttle
  • SPACs: Key Regulatory Considerations for Private Equity Sponsors
    May 2021
    Christopher Anthony
    ,
    Morgan J. Hayes
    ,
    Robert B. Kaplan
    ,
    Marc Ponchione
    ,
    Julie M. Riewe
    ,
    Shannon Rose Selden
    ,
    Steven J. Slutzky

Upcoming Events

  • Private Credit, Artificial Intelligence, Extended Hours Trading and Leveraged ETFs
    20 October 2026
    U.S. Securities and Exchange Commission
    SEC Division of Examinations Annual Leadership Conference
    Washington, DC
    Speaking Engagements

Recent Events

  • Updates on the SEC's Pay to Play Rules
    4 September 2024
    Investment Advisers Association
    Webcast
    Speaking Engagements
  • Recent Developments in Securities Enforcement – July 2024
    24 July 2024
    Debevoise & Plimpton LLP
    Webcast: Securities Enforcement Commentary
    Webcast
    Speaking Engagements
  • Topics and Trends Affecting Asset Managers
    25 June 2024
    Debevoise & Plimpton LLP
    9th Annual SEC Alumni Seminar
    New York, New York
    Speaking Engagements
  • SEC Whistleblower Enforcement
    21 May 2024
    Investment Advisers Association
    IAA Committee Meeting
    Webcast
    Speaking Engagements
  • Fundamentals of Investment Adviser Regulation
    28 June 2023
    Practising Law Institute
    New York, New York
    Speaking Engagements
  • Keeping CCOs Sane and Maintaining a Quality Compliance Program
    21 March 2023
    Investment Company Institute
    San Francisco, California
    Speaking Engagements
  • Insider Trading Trends and Evolving Compliance Best Practices
    17-19 October 2022
    National Society of Compliance Professionals
    2022 NSCP National Conference
    National Harbor, Maryland
    Speaking Engagements
  • ESG Statutes and Proposed Regulations Passed by Various States and Implications for Asset Managers
    1 September 2022
    Jefferies
    Jefferies' Client Conference
    Webcast
    Speaking Engagements
  • Enforcement and Litigation Trends in Investment Management
    26-27 July 2022
    Practising Law Institute
    Investment Management 2022: Current Issues & Trends
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Antitrust and Private Equity in Asia: Increased Enforcement on the Horizon
    29 June 2022
    Debevoise & Plimpton LLP
    Webcast
    Speaking Engagements
  • IBA Asset Management and Investment Funds Committee
    22-24 May 2022
    IBA-NY
    31st Annual Conference on the Globalisation of Investment Funds
    New York, New York
    Speaking Engagements
  • Pancakes and Priorities: Breakfast CLE with Debevoise’s Examinations and Enforcement Team
    28 March 2022
    ICI
    ICI Conference Breakfast
    Webcast
    Speaking Engagements
  • Mutual Funds, Closed-End Funds, and ETFs
    18-19 January 2022
    Practising Law Institute
    Understanding Financial Products 2022
    Webcast
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Compliance Implications from Recent Enforcement Cases
    29 September 2021
    Managed Funds Association
    Chief Compliance Officer Forum
    Webcast
    Speaking Engagements
  • Everything You Need to Know About the SEC's Private Funds Unit
    22 July 2021
    Debevoise & Plimpton LLP

    Webcast

    Speaking Engagements
  • Private Equity Disputes: Current Trends, Typical Issues and Tactics for Defending Claims
    27 May 2021
    Debevoise & Plimpton LLP
    Webcast
    Speaking Engagements
  • SPACs and Associated IAA/ICA/33 Act Regulatory and Enforcement Issues and More
    23 March 2021
    American Investment Council
    AIC’s CCO Working Group Webinar
    Webcast
    Speaking Engagements
  • Federal and State Securities Enforcement in the Age of COVID
    30 June 2020
    Risk Management Association
    Webcast
    Speaking Engagements
  • COVID-19 & Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
    2 April 2020
    Debevoise
    Webcast
    Speaking Engagements
  • 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