Asset Management Enforcement and Examinations

Fact Sheet

Publications

Upcoming Events

Recent Events

  • Updates on the SEC's Pay to Play Rules
    4 September 2024
    Investment Advisers Association
    Webcast
    Speaker: Sheena Paul, Kristin A. Snyder, Jennifer R. Cowan
    Speaking Engagements
  • Recent Developments in Securities Enforcement – July 2024
    24 July 2024
    Debevoise & Plimpton LLP
    Webcast: Securities Enforcement Commentary
    Webcast
    Speaker: Andrew J. Ceresney, Arian M. June, Julie M. Riewe, Philip A. Fortino
    Speaking Engagements
  • Topics and Trends Affecting Asset Managers
    25 June 2024
    Debevoise & Plimpton LLP
    9th Annual SEC Alumni Seminar
    New York, New York
    Speaker: Andrew J. Ceresney, Charu A. Chandrasekhar, Robert B. Kaplan, Julie M. Riewe, Kristin A. Snyder
    Speaking Engagements
  • SEC Whistleblower Enforcement
    21 May 2024
    Investment Advisers Association
    IAA Committee Meeting
    Webcast
    Speaker: Julie M. Riewe, Kristin A. Snyder
    Speaking Engagements
  • Fundamentals of Investment Adviser Regulation
    28 June 2023
    Practising Law Institute
    New York, New York
    Speaker: Kristin A. Snyder
    Speaking Engagements
  • Keeping CCOs Sane and Maintaining a Quality Compliance Program
    21 March 2023
    Investment Company Institute
    San Francisco, California
    Speaker: Kristin A. Snyder
    Speaking Engagements
  • Insider Trading Trends and Evolving Compliance Best Practices
    17-19 October 2022
    National Society of Compliance Professionals
    2022 NSCP National Conference
    National Harbor, Maryland
    Speaker: Robert B. Kaplan
    Speaking Engagements
  • ESG Statutes and Proposed Regulations Passed by Various States and Implications for Asset Managers
    1 September 2022
    Jefferies
    Jefferies' Client Conference
    Webcast
    Speaker: Kristin A. Snyder, Ulysses Smith
    Speaking Engagements
  • Enforcement and Litigation Trends in Investment Management
    26-27 July 2022
    Practising Law Institute
    Investment Management 2022: Current Issues & Trends
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Antitrust and Private Equity in Asia: Increased Enforcement on the Horizon
    29 June 2022
    Debevoise & Plimpton LLP
    Webcast
    Speaker: Ted Hassi, Mark Johnson, Kristin A. Snyder
    Speaking Engagements
  • IBA Asset Management and Investment Funds Committee
    22-24 May 2022
    IBA-NY
    31st Annual Conference on the Globalisation of Investment Funds
    New York, New York
    Speaker: Shannon Rose Selden
    Speaking Engagements
  • Pancakes and Priorities: Breakfast CLE with Debevoise’s Examinations and Enforcement Team
    28 March 2022
    ICI
    ICI Conference Breakfast
    Webcast
    Speaker: Robert B. Kaplan, Julie M. Riewe, Kristin A. Snyder
    Speaking Engagements
  • Mutual Funds, Closed-End Funds, and ETFs
    18-19 January 2022
    Practising Law Institute
    Understanding Financial Products 2022
    Webcast
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Compliance Implications from Recent Enforcement Cases
    29 September 2021
    Managed Funds Association
    Chief Compliance Officer Forum
    Webcast
    Speaker: Charu A. Chandrasekhar
    Speaking Engagements
  • Everything You Need to Know About the SEC's Private Funds Unit
    22 July 2021
    Debevoise & Plimpton LLP

    Webcast

    Speaker: Robert B. Kaplan, Julie M. Riewe, Charu A. Chandrasekhar
    Speaking Engagements
  • Private Equity Disputes: Current Trends, Typical Issues and Tactics for Defending Claims
    27 May 2021
    Debevoise & Plimpton LLP
    Webcast
    Speaker: Mark Johnson, Gavin Anderson, Cameron Sim
    Speaking Engagements
  • SPACs and Associated IAA/ICA/33 Act Regulatory and Enforcement Issues and More
    23 March 2021
    American Investment Council
    AIC’s CCO Working Group Webinar
    Webcast
    Speaker: Marc Ponchione, Julie M. Riewe
    Speaking Engagements
  • Federal and State Securities Enforcement in the Age of COVID
    30 June 2020
    Risk Management Association
    Webcast
    Speaker: Andrew J. Ceresney, Courtney M. Dankworth, Julie M. Riewe
    Speaking Engagements
  • COVID-19 & Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
    2 April 2020
    Debevoise
    Webcast
    Speaker: Robert B. Kaplan, M. Natasha Labovitz, Sidney P. Levinson, Julie M. Riewe, Shannon Rose Selden, Jonathan R. Tuttle
    Speaking Engagements
  • Everyone Has Them: Identifying, Disclosing, and Managing Conflicts of Interest Under Your Fiduciary Duty
    5-6 March 2020
    Investment Adviser Association
    IAA Investment Adviser 2020 Compliance Conference
    Washington, DC
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Changes and Challenges: The SEC View From the Top
    25 October 2019
    State Bar of Georgia/Business Law Section
    Securities Litigation and Regulatory Practice
    Atlanta, Georgia
    Speaker: Julie M. Riewe
    Speaking Engagements
  • The SEC’s Focus on Investor Protection: RICs on the Radar of OCIE and Enforcement
    17-20 March 2019
    Investment Company Institute
    ICI 2019 Mutual Funds and Investment Management Conference
    San Diego, California
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Hot Trends in DOJ and SEC Enforcement and Litigation
    5 December 2018
    Sandpiper Partners LLC
    Breakfast and Educational Briefing
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Tips for Corporate/Regulatory Attorneys to Add Value in Regulatory Examinations and Investigations
    23 October 2018
    D.C. Bar
    D.C. Bar CFSL Program
    Washington, D.C.
    Speaker: Julie M. Riewe
    Speaking Engagements
  • SEC Inspections and Examinations of Private Hedge and Equity Funds
    9 October 2018
    Practising Law Institute
    Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Diligence & Compliance
    13 September 2018
    Exiger
    Exiger’s PE Roundtable Dinner on Diligence & Compliance
    New York, New York
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Who is an Investment Adviser; Regulatory Jurisdiction
    25 June 2018
    Practising Law Institute
    PLI’s Fundamentals of Investment Adviser Regulation 2018
    New York, New York
    Speaker: Kenneth J. Berman
    Speaking Engagements
  • Fiduciary Investment Advice: Litigation and Enforcement Perspectives
    10 May 2018
    Practising Law Institute
    PLI’s Fiduciary Investment Advice 2018
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • What’s New? OCIE and Enforcement under Chairman Clayton
    7 December 2017
    Investment Company Institute
    2017 Securities Law Procedures Conference
    Washington, D.C.
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Panel Discussion
    6 November 2017
    Regulatory Compliance Association
    RCA’s Women in Asset Management & Regulation Summit
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Current Issues in Wealth Management & Investment Advisory
    11 November 2017
    Securities Industry and Financial Markets Association
    Compliance & Legal New York Regional Seminar
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Who is an Investment Adviser; Regulatory Jurisdiction
    26 June 2017
    Practising Law Institute
    Fundamentals of Investment Adviser Regulation 2017
    New York, New York
    Speaker: Kenneth J. Berman
    Speaking Engagements
  • Building a Portfolio
    27 April 2017
    American College of Investment Counsel
    Spring Investment Forum – Off the Beaten Path: Navigating the Peaks and Valleys of Investments and Regulatory Compliance
    Chicago, Illinois
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Internal Investigations: A Simulation
    19-22 March 2017
    Securities Industry and Financial Markets Association
    2017 SIFMA Compliance & Legal Society Annual Seminar
    San Diego, California
    Speaker: Julie M. Riewe
    Speaking Engagements
  • An Anatomy of Recent SEC Enforcement Settlements
    7 March 2017
    International Bar Association
    18th Annual International Conference on Private Investment Funds
    London, UK
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Valuation Best Practice and Other SEC Focus Areas
    28 February 2017
    Institutional Investor
    Legal Forum/Winter Roundtable
    New York, New York
    Speaker: Robert B. Kaplan, Julie M. Riewe
    Speaking Engagements
  • Prosecutors Panel: Lifecycle of a Parallel Matter
    31 May 2016
    Securities and Exchange Commission
    SEC’s Market Abuse Unit Conference
    Washington, D.C.
    Speaker: Winston M. Paes
    Speaking Engagements
  • View from the Regulators: 2016 Enforcement Priorities for Private Equity and Hedge Funds
    5 April 2016
    American Conference Institute
    American Conference Institute: 3rd Summit on FCPA, AML & OFAC Risks
    New York, NY
    Speaker: Winston M. Paes
    Speaking Engagements
  • The Balancing Act: Narrow and Effective Internal Investigations that Avoid Boiling the Ocean
    19-20 October 2015
    Corporate Counsel
    9th Annual Hedge Fund General Counsel and Compliance Officer Summit
    New York, NY
    Speaker: Winston M. Paes
    Speaking Engagements