Asset Management Corner

In this episode of Asset Management Corner, Andrew and Chris discuss two recent Supreme Court cases, Exam’s risk alert involving economic conflicts of interest, the new Enforcement Director’s first speech, and the first charges by this Commission of the whistleblower protection rule (Rule 21F-17).  They are then joined by their first government guest:  Andrew Thomas, Co-Chief of the Securities and...

In this episode of Asset Management Corner, Andrew and Chris share additional observations on the proposed Form PF amendments, discuss the recent arrest of a U.S. soldier accused of “insider trading” tied to the removal of a foreign head of state, and explore how advisers should address prediction markets in their compliance programs. They are then joined by Maryellen Maurer, Managing Director at...

In this episode of Asset Management Corner, Andrew and Chris discuss the announcement of David Woodcock as the new SEC Enforcement Director, the proposed amendments to Form PF, and some notable enforcement actions. Then they are joined by Adam Huckle, a partner in Maples Group’s Regulatory & Financial Services and Dispute Resolution & Insolvency teams in the Cayman Islands. The guys discus...

In this episode of Asset Management Corner, Andrew and Chris discuss another important Enforcement action involving a private fund adviser, the new SEC Enforcement Manual, and Enforcement Director Ryan’s first speech. Then they speak with Pete Driscoll, partner at PWC and former head of the Division of Examinations, to reflect on the evolution of Exams, discuss the SEC’s policymaking agenda, and a...

In this Super Bowl edition of Asset Management Corner, Andrew and Chris discuss SEC Director Brian Daly's speech on AI, U.S. Attorney Jay Clayton's interview at the recent Securities Docket conference, where he made news on prediction markets and corporate cooperation, and Andrew’s and Chris’s picks for the big game. They then catch up with friends and colleagues Robert Baker from ACA Group (and a...

In this season two premiere episode of the Asset Management Corner podcast, Andrew Dean and Christopher Mulligan reconnect with former SEC colleague Michael Spratt, who is now a leader at the Investment Company Institute, to discuss the retailization of private funds, among other topics. Andrew and Chris also break down some Marketing Rule updates, including the infamous footnote 590, and this Com...

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan sit down with Scott Walker, the Chief Compliance Officer at Andreessen Horowitz (aka a16z) to discuss all things VC and crypto. Scott’s varied background, including as the SEC’s expert on digital assets and blockchain technology, gives him a unique perspective on the intersection of compliance and crypto. Andrew and Chris a...

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan discuss how the SEC has hit the ground running after a record-breaking federal government shutdown. Andrew and Chris discuss what that means, and give their first take on the newly released priorities from the Division of Examinations. Later, Andrew Chizzik and Stephanie E. Srulowitz, Co-Heads of Weil’s Private Funds Practi...

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan discuss how the federal government shutdown impacts the SEC, even if it is short lived, and how we did not see the SEC bring the typical flurry of enforcement actions at the end of its fiscal year. Later, Tana Ryan, a partner in Weil’s Private Equity practice and the Managing Partner of Weil’s Los Angeles office, joins them...

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Weil’s own Olivia Greer to discuss how advisers should be thinking about artificial intelligence. They take on all things AI, including the intersection of federal, state, and foreign laws and regulations; policies and procedures; recording keeping; SEC Enforcement and Examinations interest; and the connection...

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan  are joined by Patrick Hayes, the podfather of securities compliance podcasts.  They discuss Patrick’s NSCP podcast; the SEC’s new Director of Enforcement and coming changes; a very active Division of Examinations; how SEC enforcement actions impact industry compliance and SEC examinations; and advisers’ focus on the retail...

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Igor Rozenblit and Jennifer Duggins, senior compliance professionals and former examiners from the SEC’s Private Funds Unit. They explain the PFU’s role within the Division of Examinations at the SEC, and discuss hot topics of the day, including the retailization of private funds and compliance in the world of...

In the inaugural episode of Asset Management Corner, former senior SEC officials Andrew Dean and Chris Mulligan dive into the sweeping changes underway at the SEC. From new leadership and shifting exam priorities to upcoming rules and enforcement trends, this episode offers expert insights into what compliance officers, fund managers, and legal professionals should expect in the months ahead. Andr...