-
New Anti-Money Laundering Requirements for Investment Advisers: Ten FAQs
9 September 2024
Satish M. Kini
, Marc Ponchione
, Aseel M. Rabie
, Jonathan R. Wong
-
Update: Harris/Walz Ticket Raises Advisers Act Pay-to-Play Rule Considerations (Plus 8 Important Pay-to-Play Reminders)
6 August 2024
Sheena Paul
, Julie M. Riewe
, Kristin A. Snyder
, Marc Ponchione
, Jennifer R. Cowan
, Lauren P. Heller
-
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
, Andrew J. Gershon
, 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
, Charles Cartiglia
, Josephine Chen
, Jordan Corrente Beck
, Tejas N. Dave
, Julia Glazer
, Michael C. Godbe
, Zoe Jacoby
, Yiran Ji
, Adriana Kranjac
, Paul D. Lowry
, Kaitlyn McGill
, Diana Moise
, Amy Pereira
, John M. Satira
, Eike Björn Weidner
, Keith Moshe
-
Compliance Reminder: August 31 Deadline for Form 13F Filers to File Form N-PX
1 August 2024
Benjamin R. Pedersen
, Nicholas P. Pellicani
, Marc Ponchione
, Gary E. Murphy
, Sheena Paul
, Victoria S. Li
, Maayan G. Stein
, Ashley Yoon
, Talia Lorch
-
Fifth Circuit Banishes SEC Private Fund Adviser Rules to a Galaxy PFAR, PFAR Away…
6 June 2024
Jonathan Adler
, Lorna Bowen
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Shannon Rose Selden
, Rebecca F. Silberstein
, Kristin A. Snyder
, Justin Storms
, Lauren P. Heller
, Anna Moody
, Sheena Paul
, Christine Liu
, Caroline H. Wallace
-
Proposed Customer Identification Program Requirements for Investment Advisers
21 May 2024
Satish M. Kini
, Marc Ponchione
, Sheena Paul
, Aseel M. Rabie
, Catherine Morrison
, Elliott Werner
-
The SEC Adopts Significant Cybersecurity Amendments to Reg S-P
17 May 2024
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Anna Moody
, Sheena Paul
, Johanna N. Skrzypczyk
, Suchita Mandavilli Brundage
, Ned Terrace
-
30 Days to Form ADV: Have You Reviewed Your AI Disclosures?
26 February 2024
Charu A. Chandrasekhar
, Avi Gesser
, Marc Ponchione
, Julie M. Riewe
, Kristin A. Snyder
, Matt Kelly
, Sheena Paul
, Ned Terrace
, Mengyi Xu
-
SEC Expands “Dealer” Definitions to Cover Significant Liquidity Providers
16 February 2024
Marc Ponchione
, Jeff Robins
, Kristin A. Snyder
, Gary E. Murphy
, Sheena Paul
-
Private Equity Report: 2024 Outlook
February 2024
Christopher Anthony
, Katherine Ashton
, Andrew L. Bab
, Paul S. Bird
, Dominic Blaxill
, Ezra Borut
, Geoffrey P. Burgess
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Jennifer L. Chu
, Luke Dembosky
, E. Drew Dutton
, Jane Engelhardt
, Avi Gesser
, Andrew J. Gershon
, Nia I. Goodman
, David Grosgold
, Jyotin Hamid
, Ted Hassi
, Morgan J. Hayes
, Peter J. Irwin
, Eric T. Juergens
, Robert B. Kaplan
, M. Natasha Labovitz
, Jonathan F. Lewis
, Sidney P. Levinson
, Andrew M. Levine
, Erez Liebermann
, Timothy McIver
, Maura Kathleen Monaghan
, Edwin Northover
, Brett M. Novick
, Marc Ponchione
, Ryan T. Rafferty
, Natalie L. Reid
, Julie M. Riewe
, Kevin Rinker
, Samantha J. Rowe
, Paul D. Rubin
, Michael Schaper
, Kevin M. Schmidt
, Scott B. Selinger
, Aly Love (f/k/a Simons)
, Thomas Smith
, Kristin A. Snyder
, Steven J. Slutzky
, Ramya S. Tiller
, Patricia Volhard
, Erica S. Weisgerber
, Kyra K. Bromley
, Alison E. Buckley-Serfass
, Jennifer R. Cestaro
, Stuart Hammer
, Jin-Hyuk Jang
, Wen-Wei Lai
, Michael P. McGuigan
, Sheena Paul
, Melissa Runsten
, Tricia Bozyk Sherno
, Ulysses Smith
, Sergio Torres
, Elie J. Worenklein
, Adam Aukland-Peck
, Josephine Chen
, Perpétua B. Chéry
, Paul Eastham
, Isabelle Glimcher
, Yiran Ji
, Maryam Kanna
, Leah Martin
, Sophie Michalski
, Diana Moise
, David J. Swiedler
, Perri M. Weinstein
, Nathan R. Hogan
-
FinCEN Beneficial Ownership Information Reporting: Updated Guidance for the Private Funds Industry
13 February 2024
Satish M. Kini
, Marc Ponchione
, Aseel M. Rabie
-
SEC Adopts Final Rules Relating to SPACs and de-SPAC Transactions
1 February 2024
Morgan J. Hayes
, Peter J. Loughran
, Marc Ponchione
, Nia I. Goodman
, Amy Pereira
-
Annual Filing, Notice and Reporting Requirements for Private Fund Sponsors
16 January 2024
Jonathan Adler
, Gavin Anderson
, Jason Auerbach
, Sally Bergmann Hardesty
, Lorna Bowen
, Matthew Dickman
, Christopher Dortschy
, Jane Engelhardt
, Andrew Ford
, Geoffrey Kittredge
, Marc Ponchione
, John W. Rife III
, Rebecca F. Silberstein
, Justin Storms
, Patricia Volhard
, Shawn Xiao Yang
, Benjamin Amos
, Cate H. Bae
, Jin-Hyuk Jang
, Sheena Paul
, John Young
, Massy Vainshtein
-
SEC Releases Final Rule Requiring Central Clearing of U.S. Treasury Transactions
8 January 2024
Gregory J. Lyons
, Marc Ponchione
, Jeff Robins
, Sheena Paul
, Chen Xu
, Tejas N. Dave
, Tzerina Dizon
-
SEC Amends Section 13 Reporting Requirements
12 October 2023
Eric T. Juergens
, Matthew E. Kaplan
, Benjamin R. Pedersen
, Nicholas P. Pellicani
, Marc Ponchione
, William D. Regner
, Jeff Robins
, Paul M. Rodel
, Steven J. Slutzky
, Chris Gallucci
, Ashley Yoon
-
Compliance Dates for New Private Fund Adviser Rules
19 September 2023
Marc Ponchione
, Sheena Paul
, Massy Vainshtein
-
NYU Compliance & Enforcement: SEC Proposes Rule to Eliminate or Neutralize Conflicts in the Use of “Predictive Data Analytics” Technologies
29 August 2023
NYU Compliance & Enforcement
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Jeff Robins
, Matt Kelly
, Gary E. Murphy
, Jarrett Lewis
, Robert B. Kaplan
, Marc Ponchione
, Sheena Paul
, Catherine Morrison
, Julie M. Riewe
, Kristin A. Snyder
, Mengyi Xu
-
The Before and After of Private Fund Adviser Reform: A Comparison of the Final Rule to the Proposal
23 August 2023
Jonathan Adler
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Rebecca F. Silberstein
, Kristin A. Snyder
, Justin Storms
, Sheena Paul
-
SEC Proposes Rule to Eliminate or Neutralize Conflicts in the Use of “Predictive Data Analytics” Technologies
14 August 2023
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Matt Kelly
, Gary E. Murphy
, Sheena Paul
, Jarrett Lewis
, Catherine Morrison
, Mengyi Xu
-
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
, Andrew J. Gershon
, Mark P. Goodman
, Jyotin Hamid
, Ted Hassi
, Morgan J. Hayes
, Emily F. Huang
, Peter J. Irwin
, Eric T. Juergens
, Robert B. Kaplan
, Rafael Kariyev
, Meir D. Katz
, 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
, Megan McGuiggan
, Sheena Paul
, Tricia Bozyk Sherno
, Ulysses Smith
, Jacob W. Stahl
, Sergio Torres
, Jennifer Wheater
, Elie J. Worenklein
, Adam Aukland-Peck
, Colleen B. Bernaiche
, Charles Cartiglia
, Paul Eastham
, Jay E. Evans
, Sara Ewad
, Christopher Gossage
, Camila Isern
, Yiran Ji
, Maryam Kanna
, Rekha Korlipara
, Adriana Kranjac
, Samuel D. Krawiecz
, Harshil Mehta
, Gianni Pizzitola
, Stanley G. Seckler
, Sheng Shao
, Massy Vainshtein
, Kimberly Anker
-
Private Equity Report Spring 2023, Vol 23, No 1
May 2023
Michael Bolotin
, Jennifer L. Chu
, Avi Gesser
, Meir D. Katz
, Henry Lebowitz
, Marc Ponchione
, Kevin M. Schmidt
, Shannon Rose Selden
, Scott B. Selinger
, Kristin A. Snyder
, Matthew J. Sorensen
, Charu A. Chandrasekhar
, Matt Kelly
, Caroline P. Geiger
, Sheena Paul
, Keith J. Slattery
, Suchita Mandavilli Brundage
, Tigist Kassahun
, Melissa Muse
, Dominique Trudelle
, Massy Vainshtein
-
Spring Roundup of Crucial U.S. Regulatory Developments for Private Equity Sponsors
May 2023
Marc Ponchione
, Sheena Paul
, Massy Vainshtein
-
SEC Adopts Significant Amendments to Form PF: What You Need to Know Now
11 May 2023
Marc Ponchione
, Sheena Paul
, Massy Vainshtein
-
SEC Staff Bulletin Provides Detailed Guidance for Broker-Dealers and Investment Advisers on the Care Obligations to Retail Investors
3 May 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Philip A. Fortino
, Sheena Paul
, Stephan J. Schlegelmilch
, Maryam Kanna
-
NYU Compliance & Enforcement: A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations
30 March 2023
NYU Compliance & Enforcement
Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Charu A. Chandrasekhar
, Sheena Paul
, Suchita Mandavilli Brundage
, Mengyi Xu
, Ned Terrace
-
A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations
20 March 2023
Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Charu A. Chandrasekhar
, Sheena Paul
, Suchita Mandavilli Brundage
, Mengyi Xu
, Ned Terrace
-
CLS Blue Sky Blog: Debevoise Discusses Proposed SEC Rule to Prohibit Conflicts of Interest in Certain Securitizations
21 February 2023
CLS Blue Sky Blog
Marc Ponchione
, Jeff Robins
, Jeremy Lin
-
2023 SEC Division of Examinations Priorities
14 February 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Charu A. Chandrasekhar
, Philip A. Fortino
, Sheena Paul
, Stephan J. Schlegelmilch
, Maryam Kanna
-
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
14 February 2023
Marc Ponchione
, Jeff Robins
, Jeremy Lin
-
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
, Jennifer L. Chu
, 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
, Meir D. Katz
, 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
, Barbara N. Barath
, Alison E. Buckley-Serfass
, Zhiyan Cao
, Robert T. Dura
, Robert M. Fettman
, Caroline P. Geiger
, Andrew J. Gershon
, 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
, Emily MacKay
, Ezra Newman
, Melissa Runsten
, Sergio Torres
, George Tan
, Tiffany Wu
, Emma Macfarlane
, Sarah Min
, Matthew Stromecki
, Massy Vainshtein
-
SEC's Division of Examinations Highlights Importance of Compliance Policies and Procedures In Risk Alert Regarding the Advisers Act Marketing Rule
21 September 2022
Marc Ponchione
, Kristin A. Snyder
, Sheena Paul
-
2022 Private Equity Midyear Review and Outlook
1 August 2022
Jonathan Adler
, Christopher Anthony
, Katherine Ashton
, Sally Bergmann Hardesty
, Dominic Blaxill
, Ezra Borut
, Geoffrey P. Burgess
, Jennifer L. Chu
, Christopher Dortschy
, E. Drew Dutton
, Jane Engelhardt
, Avi Gesser
, Jyotin Hamid
, Morgan J. Hayes
, Emily F. Huang
, Peter J. Irwin
, Satish M. Kini
, M. Natasha Labovitz
, Andrew M. Levine
, Sidney P. Levinson
, Marilyn A. Lion
, Peter J. Loughran
, Nicole Levin Mesard
, Brett M. Novick
, Marc Ponchione
, Ryan T. Rafferty
, Jeffrey E. Ross
, Scott B. Selinger
, Steven J. Slutzky
, Thomas Smith
, Ramya S. Tiller
, Patricia Volhard
, Richard Ward
, Jeffrey P. Cunard
, Tricia Bozyk Sherno
, Marshal L. Bozzo
, Zhiyan Cao
, Robert T. Dura
, Andrew J. Gershon
, Stuart Hammer
, Sheena Paul
, Jin-Hyuk Jang
, Jennifer Wheater
, John Young
, Ulysses Smith
, Jennifer R. Cestaro
, Thomas A. DeMarzo
, Paul Eastham
, Isabel Espinosa de los Reyes
, Michael C. Godbe
, Christopher Gossage
, Sheng Shao
, Malina Welman
, Matthew Mrozek
, Chika Ojukwu
, Yiran Ji
-
Focus on Private Equity: SEC Recap (New VidCast Series) – What the SEC’s Proposed ESG Rules Mean for Private Fund Advisers
18 July 2022
Marc Ponchione
, Kristin A. Snyder
, Ulysses Smith
-
SEC Proposes Rules Relating to Registered Funds’ ESG Investments
12 July 2022
Marc Ponchione
, Kristin A. Snyder
, Sheena Paul
, Ulysses Smith
-
Applicability of the SEC’s Proposed ESG Rules to Private Fund Advisers
15 June 2022
Marc Ponchione
, Kristin A. Snyder
, Patricia Volhard
, Sheena Paul
, Jin-Hyuk Jang
, John Young
, Ulysses Smith
-
Private Equity Report Spring 2022, Vol 22, No 1
May 2022
Catherine Amirfar
, Andrew L. Bab
, Megan K. Bannigan
, David H. Bernstein
, Alexander R. Cochran
, Avi Gesser
, Ted Hassi
, Eric T. Juergens
, Matthew E. Kaplan
, M. Natasha Labovitz
, Sidney P. Levinson
, Pierre Maugüé
, Marc Ponchione
, Ina C. Popova
, Natalie L. Reid
, Julie M. Riewe
, Scott B. Selinger
, Kristin A. Snyder
, Ramya S. Tiller
, Richard Ward
, Erica S. Weisgerber
, Charu A. Chandrasekhar
, Nick S. Kaluk III
, Sheena Paul
, Christopher Rosekrans
, Jennifer Wheater
, Paul Eastham
, Christopher S. Ford
, Christine Shu Gilleland
, Michael C. Godbe
, Kate Saba
-
Spring Roundup of Critical U.S. Regulatory Developments for Private Equity Sponsors
May 2022
Sheena Paul
, Marc Ponchione
-
Focus on Private Equity: SEC Recap – SEC Issues Long-Awaited Proposed Climate Change Disclosure Rule
5 May 2022
Marc Ponchione
, Ulysses Smith
, Eric T. Juergens
-
SEC Proposes Major Rule Changes for SPACs
18 April 2022
Christopher Anthony
, Morgan J. Hayes
, Peter J. Loughran
, Marc Ponchione
, Zachary H. Saltzman
, Shannon Rose Selden
, Steven J. Slutzky
, Chika Ojukwu
-
2022 SEC Division of Examinations Priorities
6 April 2022
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
-
IM Regulatory Update February 2022
25 February 2022
Marc Ponchione
, Sheena Paul
-
SEC Proposes Extensive New Rules Applicable to Private Fund Advisers
18 February 2022
Jonathan Adler
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Rebecca F. Silberstein
, Justin Storms
, Sheena Paul
-
SEC Proposes Significant Amendments to Section 13 Reporting Requirements and Deadlines
16 February 2022
Eric T. Juergens
, Matthew E. Kaplan
, Peter J. Loughran
, Nicholas P. Pellicani
, Marc Ponchione
, Steven J. Slutzky
, Maayan G. Stein
-
SEC Continues Focus on Private Fund Adviser Disclosures and Other Topics
4 February 2022
Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Sheena Paul
-
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
, Jennifer L. Chu
, 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
, Marshal L. Bozzo
, Christopher Dortschy
, Andrew J. Gershon
, Emily F. Huang
, Jennifer Wheater
, Dominic Blaxill
, Charles Cartiglia
, Robert T. Dura
, Matthew J. Sacco
, Sheng Shao
, Sergio Torres
, Charlotte A. Walkovik
, 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
-
Investment Management Regulatory Update October 2021
4 November 2021
Marc Ponchione
, Sheena Paul
-
Investment Management Regulatory Update September 2021
5 October 2021
Marc Ponchione
, Sheena Paul
-
2021 Private Equity Midyear Review and Outlook
22 July 2021
Jonathan Adler
, Christopher Anthony
, Katherine Ashton
, Andrew L. Bab
, Megan K. Bannigan
, Sally Bergmann Hardesty
, David H. Bernstein
, Paul S. Bird
, Ezra Borut
, Geoffrey P. Burgess
, Jennifer L. Chu
, Matthew Dickman
, Christopher Dortschy
, E. Drew Dutton
, Jane Engelhardt
, Peter A. Furci
, Avi Gesser
, Jyotin Hamid
, Morgan J. Hayes
, Peter J. Irwin
, Meir D. Katz
, Rafael Kariyev
, M. Natasha Labovitz
, Maurizio Levi-Minzi
, Andrew M. Levine
, Sidney P. Levinson
, Jonathan F. Lewis
, Marc Ponchione
, Ryan T. Rafferty
, Paul D. Rubin
, Zachary H. Saltzman
, Kevin M. Schmidt
, Shannon Rose Selden
, Scott B. Selinger
, Steven J. Slutzky
, Ramya S. Tiller
, Richard Ward
, Patricia Volhard
, Franci J. Blassberg
, Jeffrey P. Cunard
, Andrew J. Gershon
, Stuart Hammer
, Jin-Hyuk Jang
, Kim T. Le
, Sheena Paul
, Tricia Bozyk Sherno
, Jacob W. Stahl
, Jennifer Wheater
, John Young
, Adam Aukland-Peck
, Dominic Blaxill
, Charles Cartiglia
, Robert T. Dura
, Paul Eastham
, Jay E. Evans
, Norma Angelica Lopez Campos
, David J. Hotelling
, Samuel D. Krawiecz
, Wen-Wei Lai
, Robert Maddox
, Sergio Torres
, Malina Welman
-
SEC’s Spring 2021 Regulatory Agenda—Gensler’s Opening Salvo
25 June 2021
Marc Ponchione
, Sheena Paul
-
Private Equity Report Spring 2021, Vol 21, No 1
May 2021
Christopher Anthony
, Paul S. Bird
, E. Raman Bet-Mansour
, Geoffrey P. Burgess
, Jennifer L. Chu
, 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
, Norma Angelica Lopez Campos
, Adrian St. Francis
, Spencer K. Gilbert
, Matthew B. Parelman
, Brett M. Novick
-
SEC Division of Examinations Issues ESG Risk Alert
16 April 2021
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jonathan R. Tuttle
-
Annual Filing, Notice and Reporting Requirements for Private Fund Sponsors
13 January 2021
Jonathan Adler
, Gavin Anderson
, Jason Auerbach
, Sally Bergmann Hardesty
, Lorna Bowen
, Christopher Dortschy
, Jane Engelhardt
, Andrew Ford
, Geoffrey Kittredge
, Marc Ponchione
, John W. Rife III
, David J. Schwartz
, Rebecca F. Silberstein
, Justin Storms
, Patricia Volhard
, Benjamin Amos
, Cate H. Bae
, Matthew Dickman
, Jin-Hyuk Jang
, Anne-Lise Quach
, Daniel Z. Sinrod
, Shawn Xiao Yang
, John Young
, Norma Angelica Lopez Campos
-
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
, Jennifer L. Chu
, Paul D. Rubin
, Jacob W. Stahl
, Kim T. Le
, Jyotin Hamid
, Meir D. Katz
, Jonathan F. Lewis
, Tricia Bozyk Sherno
, Ezra Borut
, Jeffrey P. Cunard
, Marc Ponchione
, Kenneth J. Berman
, Norma Angelica Lopez Campos
, 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
, Malina Welman
, Paul S. Bird
-
SEC Adopts New Market Data Infrastructure Rules to Modernize the National Market System; Implications for Best Execution Obligations
7 January 2021
Andrew J. Ceresney
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Charu A. Chandrasekhar
-
SEC Overhauls Investment Adviser Advertising and Solicitation
23 December 2020
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
OCIE Discusses Proper Authority of CCOs and Other Compliance Hot Topics
9 December 2020
Kenneth J. Berman
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Norma Angelica Lopez Campos
-
SEC Eases Auditor Independence Requirements
23 October 2020
Kara Brockmeyer
, Jennifer L. Chu
, Morgan J. Hayes
, Arian M. June
, Marc Ponchione
, Paul M. Rodel
, Jonathan Steinberg
-
INSIGHTS: SEC Adopts Expanded Definition of Accredited Investor Increasing Access to Private Markets
October 2020
INSIGHTS
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
It’s Time to Take Credential Stuffing Seriously
30 September 2020
Avi Gesser
, Marc Ponchione
, Norma Angelica Lopez Campos
, Robert Maddox
-
SEC Adopts Expanded Definition of Accredited Investor Providing Investors More Access to Private Markets
3 September 2020
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
OCIE Publishes COVID-19 Risk Alert Focused on Investment Advisers and Broker-Dealers
19 August 2020
Kenneth J. Berman
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Norma Angelica Lopez Campos
-
SEC Supplements Guidance Relating to Proxy Voting Responsibilities of Investment Advisers
4 August 2020
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
2020 Private Equity Midyear Review and Outlook
31 July 2020
Jonathan Adler
, Christopher Anthony
, Megan K. Bannigan
, David H. Bernstein
, Kenneth J. Berman
, Paul S. Bird
, Ezra Borut
, Geoffrey P. Burgess
, Jennifer R. Cestaro
, Jennifer L. Chu
, Andrew J. Ceresney
, Jeffrey P. Cunard
, Peter A. Furci
, Morgan J. Hayes
, Peter J. Irwin
, Robert B. Kaplan
, Rafael Kariyev
, M. Natasha Labovitz
, Andrew M. Levine
, Sidney P. Levinson
, Nicole Levin Mesard
, Marc Ponchione
, Julie M. Riewe
, Edward M. Rishty
, Kevin M. Schmidt
, Shannon Rose Selden
, Scott B. Selinger
, Steven J. Slutzky
, Thomas Smith
, Ramya S. Tiller
, Patricia Volhard
, Richard Ward
, Michael P. McGuigan
, Samuel D. Krawiecz
, Stuart Hammer
, Dominic Blaxill
, Christopher Dortschy
, Paul Eastham
, Jin-Hyuk Jang
, Jennifer Wheater
, John Young
, Almas Daud
, Paul Eastham
, Jay E. Evans
, Norma Angelica Lopez Campos
, Samuel D. Krawiecz
, Wen-Wei Lai
-
Practical Law: Volcker Rule 2.0: A Detailed Summary of the Covered Funds Final Rule
21 July 2020
Practical Law
Satish M. Kini
, Marc Ponchione
-
SEC Proposes Substantial Increase to Form 13F Reporting Threshold: Proposed New Trigger is $3.5 billion
15 July 2020
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
Volcker Rule 2.0: A Detailed Summary of Final Rule, Round 2 on Covered Funds
30 June 2020
Satish M. Kini
, Gregory J. Lyons
, Marc Ponchione
, Rebecca F. Silberstein
, Isabel Espinosa de los Reyes
, Chen Xu
-
Déjà Vu? SEC Reiterates Concerns with Private Fund Advisers
29 June 2020
Kenneth J. Berman
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Norma Angelica Lopez Campos
-
Form CRS: Do I Have to File by June 30?
29 June 2020
Kenneth J. Berman
, Marc Ponchione
, Jeff Robins
, Norma Angelica Lopez Campos
-
SEC to Fund Managers with Access to MNPI: Trade in Portfolio Company Securities at Your Peril
28 May 2020
Kenneth J. Berman
, Andrew J. Ceresney
, Arian M. June
, Matthew E. Kaplan
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jonathan R. Tuttle
-
Temporary Exemptive Relief for BDCs and Further Custody Rule Guidance
15 April 2020
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
GPs/LPs Weigh Options in Face of Liquidity Crunch
14 April 2020
Jonathan Adler
, Gavin Anderson
, Katherine Ashton
, Kenneth J. Berman
, Ezra Borut
, Lorna Bowen
, Geoffrey P. Burgess
, E. Drew Dutton
, Jane Engelhardt
, Andrew Ford
, Geoffrey Kittredge
, Marc Ponchione
, David J. Schwartz
, Rebecca F. Silberstein
, Thomas Smith
, Justin Storms
, John W. Rife III
, Patricia Volhard
-
Fund Level Financings: Ten Considerations for Capital Call Facility Borrowers through the COVID-19 Crisis
8 April 2020
Jonathan Adler
, Gavin Anderson
, Kenneth J. Berman
, Lorna Bowen
, Alan J. Davies
, Jane Engelhardt
, Andrew Ford
, Geoffrey Kittredge
, Pierre Maugüé
, Marc Ponchione
, John W. Rife III
, David J. Schwartz
, Rebecca F. Silberstein
, Thomas Smith
, Justin Storms
, Ramya S. Tiller
, Patricia Volhard
, Michael P. McGuigan
, Victoria G. J. Brown
, Ryan T. Rafferty
-
SEC Extends Exemptive Relief and Provides Additional Guidance for Advisers Affected by COVID-19
26 March 2020
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
SEC Extends Form ADV and Form PF Deadlines for Advisers Affected by COVID-19
16 March 2020
Kenneth J. Berman
, Marc Ponchione
, Norma Angelica Lopez Campos
-
Annual Filing, Notice and Reporting Requirements for Private Fund Sponsors
13 February 2020
Jonathan Adler
, Kenneth J. Berman
, Lorna Bowen
, Jane Engelhardt
, Andrew Ford
, Marc Ponchione
, David J. Schwartz
, Rebecca F. Silberstein
, Justin Storms
, Jason Auerbach
, Cate H. Bae
, Anne-Lise Quach
, Norma Angelica Lopez Campos
-
Volcker Rule 2.0: Covered Funds Proposal
31 January 2020
Satish M. Kini
, Gregory J. Lyons
, Marc Ponchione
, Isabel Espinosa de los Reyes
, Chen Xu
-
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
, Norma Angelica Lopez Campos
, Adrian St. Francis