Asset Management Enforcement and Examinations

Publications

  • 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
    ,
    James Grimwood
    ,
    Peter J. Irwin
    ,
    Eric T. Juergens
    ,
    M. Natasha Labovitz
    ,
    Andrew M. Levine
    ,
    Sidney P. Levinson
    ,
    Jonathan F. Lewis
    ,
    Michael P. McGuigan
    ,
    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
    ,
    Zhiyan Cao
    ,
    Jennifer R. Cestaro
    ,
    Robert T. Dura
    ,
    Paul Eastham
    ,
    Stuart Hammer
    ,
    Lauren P. Heller
    ,
    Douglas M. Hirn
    ,
    Jin-Hyuk Jang
    ,
    Matt Kelly
    ,
    Wen-Wei Lai
    ,
    Kate Saba
    ,
    Ulysses Smith
    ,
    Sigan Chen
    ,
    Jordan Corrente Beck
    ,
    Jacob Dougherty
    ,
    Michael C. Godbe
    ,
    John Jacob
    ,
    Keith Moshe
    ,
    Amy Pereira
    ,
    John M. Satira
    ,
    Sheng Shao
    ,
    John Sullivan Baker
    ,
    Deniz Tanyolac
    ,
    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
    ,
    Matt Kelly
    ,
    Johanna N. Skrzypczyk
    ,
    Jordan Corrente Beck
    ,
    Jay E. Evans
    ,
    Joshua A. Goland
    ,
    Samuel D. Krawiecz
    ,
    Weichi Liu
    ,
    Emily MacKay
    ,
    Elliott Tuchman
    ,
    John M. Satira
    ,
    Sasha Semach
    ,
    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
    ,
    Sasha Semach
  • 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
    ,
    Zhiyan Cao
    ,
    Jennifer R. Cestaro
    ,
    Robert T. Dura
    ,
    Paul Eastham
    ,
    Stuart Hammer
    ,
    Lauren P. Heller
    ,
    Jin-Hyuk Jang
    ,
    Wen-Wei Lai
    ,
    Michael P. McGuigan
    ,
    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
    ,
    Diana Moise
    ,
    Amy Pereira
    ,
    John M. Satira
    ,
    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
    ,
    Matt Kelly
    ,
    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
    ,
    Zhiyan Cao
    ,
    Robert T. Dura
    ,
    Stuart Hammer
    ,
    Sheena Paul
    ,
    Tricia Bozyk Sherno
    ,
    Ulysses Smith
    ,
    Jacob W. Stahl
    ,
    Sergio Torres
    ,
    Jennifer Wheater
    ,
    Elie J. Worenklein
    ,
    Adam Aukland-Peck
    ,
    Colleen B. Bernaiche
    ,
    Paul Eastham
    ,
    Jay E. Evans
    ,
    Christopher Gossage
    ,
    Camila Isern
    ,
    Yiran Ji
    ,
    Maryam Kanna
    ,
    Rekha Korlipara
    ,
    Adriana Kranjac Rielly
    ,
    Samuel D. Krawiecz
    ,
    Megan MacDonald
    ,
    Harshil Mehta
    ,
    Stanley G. Seckler
    ,
    Sheng Shao
    ,
    Massy Vainshtein
  • 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
    ,
    Gareth Hughes
    ,
    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
    ,
    John (Jay) Neukom
    ,
    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
    ,
    Zhiyan Cao
    ,
    Robert T. Dura
    ,
    Robert M. Fettman
    ,
    Jin-Hyuk Jang
    ,
    Stuart Hammer
    ,
    Kim T. Le
    ,
    Michael P. McGuigan
    ,
    Sheena Paul
    ,
    Tricia Bozyk Sherno
    ,
    Jennifer Wheater
    ,
    John Young
    ,
    Jeffrey P. Cunard
    ,
    Ulysses Smith
    ,
    Jennifer R. Cestaro
    ,
    Paul Eastham
    ,
    Isabel Espinosa de los Reyes
    ,
    Jay E. Evans
    ,
    Christopher Gossage
    ,
    Yiran Ji
    ,
    Samuel D. Krawiecz
    ,
    Chaim Lapp
    ,
    Stacy S. Lee
    ,
    Megan MacDonald
    ,
    Emily MacKay
    ,
    Ezra Newman
    ,
    Melissa Runsten
    ,
    Sergio Torres
    ,
    Tiffany Wu
    ,
    Emma Macfarlane
    ,
    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
    ,
    Kim T. Le
    ,
    Adam Aukland-Peck
    ,
    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
    ,
    Adrian St. Francis
    ,
    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
    ,
    Jay E. Evans
    ,
    Samuel D. Krawiecz
    ,
    Andrew L. Bab
    ,
    Paul D. Rubin
    ,
    Jacob W. Stahl
    ,
    Kim T. Le
    ,
    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
    ,
    Jay E. Evans
    ,
    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
    ,
    Jeffrey E. Ross
    ,
    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
    ,
    Andreas A. Glimenakis
  • 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
    ,
    Andreas A. Glimenakis
  • FCPA Update April 2018
    Vol. 9, No. 9
    Kara Brockmeyer
    ,
    Frederick T. Davis
    ,
    Antoine F. Kirry
    ,
    Jane Shvets
    ,
    Alexandre Bisch
    ,
    Andreas A. Glimenakis
  • 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
  • Supreme Court’s Holding in Salman v. United States Leaves Many Important Questions Unanswered
    7 December 2016
    Paul R. Berger
    ,
    Matthew E. Fishbein
    ,
    Matthew E. Kaplan
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Jonathan R. Tuttle
  • The Outlook for Financial Regulatory Reform Under President Trump
    30 November 2016
    Kenneth J. Berman
    ,
    Lawrence K. Cagney
    ,
    Matthew E. Kaplan
    ,
    Satish M. Kini
    ,
    Gregory J. Lyons
    ,
    Elizabeth Pagel Serebransky
    ,
    Julie M. Riewe
    ,
    Paul M. Rodel
    ,
    Steven J. Slutzky
    ,
    Jonathan R. Tuttle
  • The SEC’s Robare Decision: Potential Financial Conflicts of Interest are Per Se Material and Must Be Disclosed
    11 November 2016
    Kenneth J. Berman
    ,
    Robert B. Kaplan
    ,
    Jonathan R. Tuttle
  • SEC Exams Focus on Whistleblower Compliance by Investment Advisers and Brokers
    26 October 2016
    Kenneth J. Berman
    ,
    Jyotin Hamid
    ,
    Michael P. Harrell
    ,
    Mary Beth Hogan
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Jonathan R. Tuttle
  • D.C. Circuit Upholds Constitutionality of SEC’s In-House Courts
    12 August 2016
    Paul R. Berger
    ,
    Matthew E. Kaplan
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Colby A. Smith
    ,
    Jonathan R. Tuttle
  • Eleventh Circuit Halts Parallel Federal Litigation Against the SEC’s In-House Judges
    27 June 2016
    Paul R. Berger
    ,
    Robert B. Kaplan
    ,
    Julie M. Riewe
    ,
    Colby A. Smith
    ,
    Jonathan R. Tuttle
  • Another Message to Private Fund Sponsors on Broker Registration – This Time from Enforcement
    6 June 2016
    Kenneth J. Berman
    ,
    Michael P. Harrell
    ,
    Robert B. Kaplan
    ,
    Andrew M. Ostrognai
    ,
    Jonathan R. Tuttle
  • Eleventh Circuit Holds that SEC Claims for Disgorgement and Declaratory Relief are Subject to Five-Year Limitations Period
    3 June 2016
    Paul R. Berger
    ,
    Robert B. Kaplan
    ,
    Andrew M. Levine
    ,
    Julie M. Riewe
    ,
    Colby A. Smith
    ,
    Jonathan R. Tuttle
    ,
    Bruce E. Yannett
  • The Shape of Things to Come: OCIE Announces Examination Priorities for 2016
    13 January 2016
    Kenneth J. Berman
    ,
    Michael P. Harrell
    ,
    Robert B. Kaplan
    ,
    Jim Pastore
  • 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
  • Guidance (and a Touch of Solace) for Compliance and Legal Personnel on Potential Supervisory Liability
    21 October 2013
    Paul R. Berger
    ,
    Kenneth J. Berman
    ,
    Robert B. Kaplan
    ,
    Jonathan R. Tuttle
  • When the SEC Knocks on Your Door, Will You Be Prepared?: Practical Steps PE Firms Should Take to Prepare for an SEC “Presence” Examination
    Winter 2013, Vol 13, Number 2
    Kenneth J. Berman
    ,
    Robert B. Kaplan
    ,
    Michael P. Harrell
    ,
    Jonathan R. Tuttle
  • Investment Adviser Pleads Guilty to Lying to SEC Officials during an Examination
    24 September 2013
    Kenneth J. Berman
    ,
    Michael P. Harrell
    ,
    Robert B. Kaplan
  • SEC 2013 Examination Priorities Focus on Private Fund Sponsors
    5 March 2013
    Eric Dinallo
    ,
    Kenneth J. Berman
    ,
    Michael P. Harrell
    ,
    Robert B. Kaplan
    ,
    Shannon Rose Selden
    ,
    Jonathan R. Tuttle
  • Supreme Court Rejects Application of the Discovery Rule to Penalty Actions Brought under 28 U.S.C. 2462
    28 February 2013
    Paul R. Berger
    ,
    Colby A. Smith
    ,
    Jonathan R. Tuttle
    ,
    Robert B. Kaplan
    ,
    Bruce E. Yannett
  • 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
    ,
    Adrian St. Francis

Upcoming Events

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  • Updates on the SEC's Pay to Play Rules
    4 September 2024
    Investment Advisers Association
    Webcast
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  • Recent Developments in Securities Enforcement – July 2024
    24 July 2024
    Debevoise & Plimpton LLP
    Webcast: Securities Enforcement Commentary
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  • Topics and Trends Affecting Asset Managers
    25 June 2024
    Debevoise & Plimpton LLP
    9th Annual SEC Alumni Seminar
    New York, New York
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    21 May 2024
    Investment Advisers Association
    IAA Committee Meeting
    Webcast
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  • Fundamentals of Investment Adviser Regulation
    28 June 2023
    Practising Law Institute
    New York, New York
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  • Keeping CCOs Sane and Maintaining a Quality Compliance Program
    21 March 2023
    Investment Company Institute
    San Francisco, California
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  • Insider Trading Trends and Evolving Compliance Best Practices
    17-19 October 2022
    National Society of Compliance Professionals
    2022 NSCP National Conference
    National Harbor, Maryland
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  • ESG Statutes and Proposed Regulations Passed by Various States and Implications for Asset Managers
    1 September 2022
    Jefferies
    Jefferies' Client Conference
    Webcast
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  • 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
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  • 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
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  • Pancakes and Priorities: Breakfast CLE with Debevoise’s Examinations and Enforcement Team
    28 March 2022
    ICI
    ICI Conference Breakfast
    Webcast
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  • 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
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  • Everything You Need to Know About the SEC's Private Funds Unit
    22 July 2021
    Debevoise & Plimpton LLP

    Webcast

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  • Private Equity Disputes: Current Trends, Typical Issues and Tactics for Defending Claims
    27 May 2021
    Debevoise & Plimpton LLP
    Webcast
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  • 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
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  • Federal and State Securities Enforcement in the Age of COVID
    30 June 2020
    Risk Management Association
    Webcast
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  • COVID-19 & Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
    2 April 2020
    Debevoise
    Webcast
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  • 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
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  • 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
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  • 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
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  • Who is an Investment Adviser; Regulatory Jurisdiction
    26 June 2017
    Practising Law Institute
    New York, New York
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  • 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
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  • 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