Doug Cornelius on compliance for private equity real estate
I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Luis Mejia, Partner, Perkins Coie, Washington, D.C.; Walter Ricciardi, Partner, Paul, Weiss, Rifkind, Wharton & Garrison, New York; and Bruce Karpati, Global CCO/Director, KKR, New York provided their view, now that they are on the other side. You … Read more »
I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Anthony Kelly, Assistant Director, SEC’s Asset Management Unit, shared some of the activities of this part of the Securities and Exchange Commission. For fees, the Unit is looking mis-allocation of private equity fees and expenses and whether the … Read more »
I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Marc Wyatt, Director, SEC’s Office of Compliance Inspections and Examinations, gave his perspective on the priorities that lie ahead for OCIE. Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations last week. He emphasized that … Read more »
I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Norm Champ, Investment Management Law Lecturer at Harvard Law School and former SEC IM Division Director, New York; and Robert Plaze, Partner, Stroock & Stroock & Lavan, Washington, D.C. came ready to talk about a broad range of … Read more »
I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. William McLucas, Mark Schonfeld and Frank ______ spoke on what is happening on the enforcement side of the Securities and Exchange Commission. The Madoff fraud and the 2008 financial crisis are still driving forces for SEC enforcement. The … Read more »
I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Rick Fleming, Director of the Office of Investor Advocate at the Securities and Exchange Commission, started with a keynote. His office and position was created by Dodd-Frank. He currently has a staff of ten people. (One of the … Read more »