With its deep roster of former SEC senior officers and experienced practitioners, Debevoise’s Asset Management Enforcement Defense & Examination Counseling Group offers unrivaled market-leading expertise across a broad range of securities-related enforcement, examination, and compliance issues.

The Group counsels clients on requirements affecting SEC-registered investment advisers to hedge funds, private equity funds, separately managed accounts, mutual funds, BDCs, and other investment companies. Among many other issues, the Asset Management Enforcement Defense & Examination Counseling Group has advised clients – in both pre-regulatory/internal investigations and exam and high-stakes enforcement contexts – on valuation, fees, expense allocation practices, performance, cross trades, best execution, soft dollars, conflicts of interest, governance, 15(c) process, insider trading, FCPA, cherry-picking, market manipulation, advertising, offering and financial frauds, and Dodd-Frank and SOX whistleblower issues. The Group also regularly guides clients through compliance training and reviews.

Debevoise counts among its partners Robert B. Kaplan and Julie M. Riewe, former Co-Chiefs of the SEC Division of Enforcement’s Asset Management Unit, who supervised nearly 80 attorneys, former industry professionals, and other staff in all 12 of the SEC’s offices; Kristin Snyder, former Deputy Director of the Division of Examinations at the SEC, who, among other responsibilities, helped oversee the more than 1,000 employees in the Division and established and lead the Division’s Private Funds Unit; and Jonathan R. Tuttle, who has been named to Securities Docket’s “Enforcement 40,” a list of the 40 leading securities enforcement defense attorneys.

With its deep roster of former SEC senior officers and experienced practitioners, Debevoise’s Asset Management Enforcement Defense & Examination Counseling Group offers unrivaled market-leading expertise across a broad range of securities-related enforcement, examination, and compliance issues. With a combined more than 50 years of experience at the highest levels of the SEC, the Debevoise team has an unparalleled, comprehensive understanding of the SEC’s asset management-related enforcement and examination programs. Associates in the Group are specifically trained on asset management compliance and enforcement issues to ensure that all lawyers touching a matter have a deep industry understanding. In addition, we regularly partner with our colleagues in Debevoise’s market-leading Private Investment Funds and Investment Management Group, thereby ensuring that the Group is on top of all aspects of the marketplace and anticipates changes in market practices, offering clients a significant advantage when they face regulatory scrutiny. The Group counsels clients on requirements affecting SEC-registered investment advisers to hedge funds, private equity funds, separately managed accounts, mutual funds, BDCs, and other investment companies. Among many other issues, the Asset Management Enforcement Defense & Examination Counseling Group has advised clients – in both pre-regulatory/internal investigations and exam and high-stakes enforcement contexts – on valuation, fees, expense allocation practices, performance, cross trades, best execution, soft dollars, conflicts of interest, governance, 15(c) process, insider trading, FCPA, cherry-picking, market manipulation, advertising, offering and financial frauds, and Dodd-Frank and SOX whistleblower issues. The Group also regularly guides clients through compliance training and reviews. Debevoise counts among its partners Robert B. Kaplan and Julie M. Riewe, former Co-Chiefs of the SEC Division of Enforcement’s Asset Management Unit, who supervised nearly 80 attorneys, former industry professionals, and other staff in all 12 of the SEC’s offices; Kristin Snyder, former Deputy Director of the Division of Examinations at the SEC, who, among other responsibilities, helped oversee the more than 1,000 employees in the Division and established and lead the Division’s Private Funds Unit; and Jonathan R. Tuttle, who has been named to Securities Docket’s “Enforcement 40,” a list of the 40 leading securities enforcement defense attorneys.

Asset Management Enforcement and Examinations

With its deep roster of former SEC senior officers and experienced practitioners, Debevoise’s Asset Management Enforcement Defense & Examination Counseling Group offers unrivaled market-leading expertise across a broad range of securities-related enforcement, examination, and compliance issues.