Publications

• 2021 Private Equity Midyear Review and Outlook
  22 July 2021
  Jonathan Adler
  ,
  Christopher Anthony
  ,
  Katherine Ashton
  ,
  Andrew L. Bab
  ,
  Megan K. Bannigan
  ,
  Sally Bergmann
  ,
  David H. Bernstein
  ,
  Paul S. Bird
  ,
  Ezra Borut
  ,
  Geoffrey P. Burgess
  ,
  Jennifer L. Chu
  ,
  William Y. Chua
  ,
  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
  ,
  Alisa A. Waxman
  ,
  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 Freeland
  ,
  David J. Hotelling
  ,
  Samuel D. Krawiecz
  ,
  Merryl Lawry-White
  ,
  Robert Maddox
  ,
  Sergio Torres
  ,
  Malina Welman
• 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
  ,
  Allison A. Lee
  ,
  Benjamin Lyon
  ,
  Clare Swirski
  ,
  Norma Angelica Freeland
  ,
  Adrian St. Francis
  ,
  Laurence Hanesworth
  ,
  Spencer K. Gilbert
  ,
  Matthew B. Parelman
  ,
  Brett M. Novick
• Annual Filing, Notice and Reporting Requirements for Private Fund Sponsors
  13 January 2021
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Gavin Anderson
  ,
  Jason Auerbach
  ,
  Sally Bergmann
  ,
  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
  ,
  Alisa A. Waxman
  ,
  Benjamin Amos
  ,
  John F. Anderson
  ,
  Cate H. Bae
  ,
  Matthew Dickman
  ,
  Jin-Hyuk Jang
  ,
  Delphine Jaugey
  ,
  Anne-Lise Quach
  ,
  Daniel Z. Sinrod
  ,
  Shawn Xiao Yang
  ,
  John Young
  ,
  Norma Angelica Freeland
• 2020/2021 Private Equity Year End Review and Outlook
  7 January 2021
  Jonathan Adler
  ,
  William D. Regner
  ,
  John W. Rife III
  ,
  Alisa A. Waxman
  ,
  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
  ,
  William Y. Chua
  ,
  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 Freeland
  ,
  Patricia Volhard
  ,
  Christopher Dortschy
  ,
  Jin-Hyuk Jang
  ,
  John Young
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Merryl Lawry-White
  ,
  Sally Bergmann
  ,
  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 Overhauls Investment Adviser Advertising and Solicitation
  23 December 2020
  Kenneth J. Berman
  ,
  Marc Ponchione
  ,
  Norma Angelica Freeland
• 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 Freeland
• INSIGHTS: SEC Adopts Expanded Definition of Accredited Investor Increasing Access to Private Markets
  October 2020
  INSIGHTS
  Kenneth J. Berman
  ,
  Marc Ponchione
  ,
  Norma Angelica Freeland
• It’s Time to Take Credential Stuffing Seriously
  30 September 2020
  Avi Gesser
  ,
  Marc Ponchione
  ,
  Norma Angelica Freeland
  ,
  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 Freeland
• 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 Freeland
• SEC Supplements Guidance Relating to Proxy Voting Responsibilities of Investment Advisers
  4 August 2020
  Kenneth J. Berman
  ,
  Marc Ponchione
  ,
  Norma Angelica Freeland
• 2020 Private Equity Midyear Review and Outlook
  31 July 2020
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  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
  ,
  William Y. Chua
  ,
  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
  ,
  Alisa A. Waxman
  ,
  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 Freeland
  ,
  Samuel D. Krawiecz
  ,
  Merryl Lawry-White
• 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 Freeland
• Form CRS: Do I Have to File by June 30?
  29 June 2020
  Kenneth J. Berman
  ,
  Marc Ponchione
  ,
  Jeff Robins
  ,
  Norma Angelica Freeland
• 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 Freeland
• Temporary Exemptive Relief for BDCs and Further Custody Rule Guidance
  15 April 2020
  Kenneth J. Berman
  ,
  Marc Ponchione
  ,
  Norma Angelica Freeland
• SEC Extends Exemptive Relief and Provides Additional Guidance for Advisers Affected by COVID-19
  26 March 2020
  Kenneth J. Berman
  ,
  Marc Ponchione
  ,
  Norma Angelica Freeland
• SEC Extends Form ADV and Form PF Deadlines for Advisers Affected by COVID-19
  16 March 2020
  Kenneth J. Berman
  ,
  Marc Ponchione
  ,
  Norma Angelica Freeland
• Annual Filing, Notice and Reporting Requirements for Private Fund Sponsors
  13 February 2020
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  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 Freeland
• Modernizing Advertising Rule
  17 January 2020
  Kenneth J. Berman
  ,
  Norma Angelica Freeland
• 2020 OCIE Priorities: Private Equity Remains Area of Interest, Focus on Retail and New SEC and Market-Wide Developments
  15 January 2020
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Luke Dembosky
  ,
  Robert B. Kaplan
  ,
  Jim Pastore
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
  ,
  Norma Angelica Freeland
• SEC Proposes Changes to Accredited Investor Definition—But Are More Changes Coming?
  13 January 2020
  Kenneth J. Berman
  ,
  Norma Angelica Freeland
• Major Changes Coming to the Advertising Rule?
  6 November 2019
  Kenneth J. Berman
  ,
  Norma Angelica Freeland
• In the Best Interests of a Client: Proxy Voting and the Retention of Advisory Firms
  28 August 2019
  Kenneth J. Berman
  ,
  William D. Regner
  ,
  Norma Angelica Freeland
• Fiduciary Duties: The SEC Weighs In Again
  18 June 2019
  Kenneth J. Berman
  ,
  Rebecca F. Silberstein
  ,
  Norma Angelica Freeland
• Fiduciary Duties and Regulation Best Interest
  18 June 2019
  Kenneth J. Berman
  ,
  Robert B. Kaplan
  ,
  Jeff Robins
  ,
  Norma Angelica Freeland
  ,
  Alexandra N. Mogul
• OCIE’s 2019 Priorities Focus on Retail, But PE Managers Remain in Examiners’ Sights
  9 January 2019
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Luke Dembosky
  ,
  Robert B. Kaplan
  ,
  Jim Pastore
  ,
  Julie M. Riewe
  ,
  Rebecca F. Silberstein
  ,
  Jonathan R. Tuttle
  ,
  Norma Angelica Freeland
• OCIE Pings Advisers on Electronic Messaging Best Practices
  21 December 2018
  Kenneth J. Berman
  ,
  Kara Brockmeyer
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Norma Angelica Freeland
• SEC Enforcement Against Private Equity Advisers Continues
  18 December 2018
  Jonathan Adler
  ,
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Rebecca F. Silberstein
  ,
  Jonathan R. Tuttle
  ,
  Norma Angelica Freeland
• Law360: Beware Pitfalls In Private Equity Secondary Transactions
  3 October 2018
  Katherine Ashton
  ,
  Kenneth J. Berman
  ,
  Julie M. Riewe
  ,
  John W. Rife III
  ,
  Norma Angelica Freeland
• Beware Pitfalls In Private Equity Secondary Transactions
  3 October 2018
  Law360
  Katherine Ashton
  ,
  Kenneth J. Berman
  ,
  Julie M. Riewe
  ,
  John W. Rife III
  ,
  Norma Angelica Freeland
• Buyers (and Sellers) Beware: Material Omissions in Private Equity Secondary Transactions
  18 September 2018
  Andrew M. Ahern
  ,
  Katherine Ashton
  ,
  Kenneth J. Berman
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  John W. Rife III
  ,
  David J. Schwartz
  ,
  Norma Angelica Freeland
• A Turning Point for FinTech? OCC and Treasury Signal Commitment to Financial Innovation
  10 August 2018
  Gregory J. Lyons
  ,
  Norma Angelica Freeland
• Debevoise & Plimpton Discusses a Turning Point for FinTech
  31 July 2018
  The CLS Blue Sky Blog
  Gregory J. Lyons
  ,
  Norma Angelica Freeland
• OCIE Lists Most Common Best Execution Deficiencies
  25 July 2018
  Kenneth J. Berman
  ,
  Robert B. Kaplan
  ,
  Gregory J. Lyons
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Norma Angelica Freeland
• Volcker Rule: A “Best First Effort” Paving the Way for More
  17 July 2018
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Norma Angelica Freeland
  ,
  Chen Xu
• U.S. Sanctions and AML Measures Target Human Rights Abuses and Corruption
  21 June 2018
  Catherine Amirfar
  ,
  Kara Brockmeyer
  ,
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Natalie L. Reid
  ,
  David W. Rivkin
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Carl Micarelli
  ,
  Zila Reyes Acosta-Grimes
  ,
  Robert T. Dura
  ,
  Norma Angelica Freeland
• Debevoise & Plimpton Discusses Changes To The Volcker Rule
  6 June 2018
  The CLS Blue Sky Blog
  Gregory J. Lyons
  ,
  Satish M. Kini
  ,
  Norma Angelica Freeland
  ,
  Chen Xu
• Volcker Rule: Changes and Questions
  31 May 2018
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Norma Angelica Freeland
  ,
  Chen Xu
• Not Just the Banks: VC and Closed-End Funds Find Relief in Dodd-Frank Overhaul
  29 May 2018
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Norma Angelica Freeland
  ,
  Julie Stem
• OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs
  13 February 2018
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Rebecca F. Silberstein
  ,
  Jonathan R. Tuttle
  ,
  Norma Angelica Freeland
• 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 Freeland
  ,
  Adrian St. Francis