What you need to know now about credit-focused US and European regulatory developments, including key trends in SEC exams and enforcement and state-level inquiries.
Our Featured Panelists
Eva Carman, Eve Ellis, Nicole Krea, Anna Lawry
Eva Carman, Partner, Ropes & Gray
Eva Carman is a seasoned civil and criminal litigator and co-head of Ropes & Gray’s global securities enforcement practice. She has more than 30 years of experience representing leading advisers and individuals in all types of financial investigations in front of the SEC, DOJ, CFTC and FINRA. Her focus is on insider trading, antitrust, employment litigation and private fund and broker dealer related regulatory and litigation issues. Her experience includes representing all types of advisers—RIAs, private equity funds, hedge funds, real estate funds, mutual funds and credit funds—in more than 150 SEC examinations and more than 70 enforcement investigations. She works globally, including with all 12 U.S. offices of the SEC. She has a deep understanding of all key regulatory areas, including fee and expense conflicts, use of affiliates, valuations, marketing, insider trading, sales practices, and disclosure issues.
Eve Ellis, Partner, Ropes & Gray
Eve Ellis is a partner in Ropes & Gray’s asset management group specializing in financial services regulation. She provides advice across a broad range of regulatory matters with a particular focus on fund regulation and has done so for over 15 years. In the latest edition of The Legal 500, clients describe Eve as “excellent,” “personable, accessible, very knowledgeable and commercially-focused.” Peers comment they are “impressed by her knowledge and commitment.” Eve also has an in-depth understanding of fund formation matters, allowing her to provide complex regulatory advice in context.
Nicole Krea, Partner, Ropes & Gray
Nicole is a partner in the asset management group. She counsels investment advisers, both registered and exempt, on a variety of regulatory matters, with a particular emphasis on the Investment Advisers Act. Nicole works with a wide array of private fund advisers, including advisers to private equity funds, hedge funds, credit funds, venture capital funds, crypto funds, and real estate funds, and also advises with respect to separately managed account relationships.
Anna Lawry, Partner, Ropes & Gray
Anna is a partner in the asset management group. The focus of Anna’s practice is derivatives. She has over 15 years of experience in this area, advising on derivatives in all the major asset classes, whether OTC or on-exchange, and any associated ISDA, collateral, brokerage, clearing and custody arrangements. Her transactional work includes advising on hedging arrangements, synthetic investments and financings in the context of a broad range of banking and corporate transactions, often cross-border in nature. She is frequently engaged in helping clients to navigate the custody and insolvency risk inherent in their transactions and structures. An important part of Anna’s practice is advising on regulatory regimes affecting derivatives, securities transactions and structured products. Her clients include hedge and PE funds, asset managers, financial institutions and corporates.