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PLI's inSecurities Podcast - Compliance and Enforcement Considerations for Private Funds & RIAs | Practising Law Institute (PLI)

On this episode of the inSecurities, Dabney O’Riordan, a partner at the law firm Quinn Emanuel and a former head of the SEC Enforcement Division’s Asset Management Unit (AMU), discusses.

Statement On Proposed Joint Amendments To Form PF, SEC Chair Gary Gensler, Aug. 10, 2022

<p><span>Today, the Commission is considering whether to propose joint amendments with the Commodity Futures Trading Commission (CFTC) to Form PF, an important reporting tool that the Commission and the Financial Stability Oversight Council (FSOC) use, respectively, to protect investors and monitor systemic risk. I am pleased to support the proposal because, if adopted, it would improve the quality of the information we receive from all Form PF filers, with a particular focus on large hedge fund advisers.</span></p>

Statement On ESG Disclosures Proposal, SEC Chair Gary Gensler, May 25, 2022

<p><span>Today, the Commission is considering a proposal to improve disclosures by certain investment advisers and funds that purport to take Environmental, Social, and Governance (ESG) factors into consideration when making investing decisions. I am pleased to support this proposal because, if adopted, it would establish disclosure requirements for funds and advisers that market themselves as having an ESG focus.</span></p>

MIL-OSI USA: Statement on Proposed Updates to Names Rule

Statement On Proposed Updates To Names Rule, SEC Chair Gary Gensler, May 25, 2022

<p><span>Today, the Commission is considering a proposal to update the Names Rule. I am pleased to support this proposal because, if adopted, it would modernize this key rule for today&rsquo;s markets and enhance the transparency of the asset management field.</span></p>

SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme

The Securities and Exchange Commission today charged Sung Kook (Bill) Hwang, the owner of family office Archegos Capital Management, LP (Archegos), with orchestrating a fraudulent scheme that resulted in billions of dollars in losses.

SEC Charges Archegos and Its Founder with Massive Market Manipulation Scheme

SEC Charges Archegos And Its Founder With Massive Market Manipulation Scheme - Multiple Archegos Executives Charged With Misleading Counterparties

<p><span>The Securities and Exchange Commission today charged Sung Kook (Bill) Hwang, the owner of family office Archegos Capital Management, LP (Archegos), with orchestrating a fraudulent scheme that resulted in billions of dollars in losses. The SEC also charged Archegos&rsquo;s Chief Financial Officer, Patrick Halligan; head trader, William Tomita; and Chief Risk Officer, Scott Becker for their roles in the fraudulent scheme.</span></p>

Remarks At The ICI Investment Management Conference, William Birdthistle, Director, SEC Division Of Investment Management, Washington D.C., March 28, 2022

<p><span>Good morning. Thank you, Eric, for your kind introduction. I appreciate the ICI&rsquo;s invitation and I hope &ndash; if you decide ever to renew it &ndash; that I&rsquo;ll be able to join you all in person someday.</span></p>

SEC examines 16% of RIAs, and it's not likely to go higher

The SEC examines fewer than one out of five RIAs last year, a level that might be difficult to hit in the future, an agency official said.