AIMA Webinar: How the SEC Regulates Private Funds

With a change in administration, it’s never been more important to understand exactly how the SEC regulates private funds.

We’ll go behind the scenes with top current and former SEC officials with specific oversight of the private fund industry as they explain how the SEC operates. This unique look at the SEC will cover how the Commission is structured – the roles of different divisions and offices – and how rules, regulations and guidance are formulated and ultimately enforced.

Panelists:

• Michael C. Neus, Private Funds Attorney Fellow, U.S. Securities and Exchange Commission
• C. Dabney O’Riordan, Co-Chief, Asset Management Unit, Division of Enforcement at U.S. Securities and Exchange Commission
• John H. Walsh, Partner, Eversheds-Southerland, Former Director, Division of Examinations (previously OCIE), U.S. Securities and Exchange Commission

Moderator:

• Terrance J. O’Malley, Principal, TJO Management

Host:

• Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA