Ropes & Gray Hosts Second Private Funds Regulatory Updates Series

Practices: Asset Management, Private Funds, Regulatory Compliance for Private Funds, Broker-Dealers

Following the success of Ropes & Gray’s inaugural Private Funds Regulatory Updates Conference in 2019, a cross-practice team of partners this year continued the event virtually through a six-part webinar series, delivered in Fall 2020. The sessions addressed developments in the regulatory landscape for private funds, with a focus on regulatory trends, insights into the challenges facing advisers to private funds and an update on industry best practices.

The six session series comprised the following webinars:

  • SEC Exam Updates, hosted by asset management partners Joel Wattenbarger and Jason Brown on Oct. 14, discussed recent SEC examination trends, focuses and practical guidance.
  • SEC Enforcement Updates, hosted by litigation & enforcement partners Eva Carman, Dan O’Connor, and Dan McCaughey on Oct. 21 discussed unique challenges and enforcement environment facing private fund managers today.  
  • DOL Updates, hosted by ERISA partner Josh Lichtenstein and asset management counsel Alyssa Horton on Oct. 28 discussed the implications of the Department of Labor’s fiduciary rule project, guidance on 401(k) access to private equity, and other regulatory projects.
  • European Regulatory Updates, hosted by asset management partners Eve Ellis and Anna Lawry, all out of on London office on Nov. 4 discussed key European regulatory updates and policy developments impacting asset managers.
  • ESG Updates, hosted by litigation & enforcement partner Eva Carman, asset management partners George Raine and Eve Ellis, and ERISA partner Josh Lichtenstein on Nov. 11 discussed recent updates and regulatory guidance relating to ESG investing (including the SEC, EU Regulators and the DOL).
  • Broker-Dealer Updates, hosted by asset management partner Brynn Rail and asset management counsel Alyssa Horton on Nov. 18 discussed new SEC rules and interpretations relating to the Regulation Best Interest (“Reg BI”) standard of conduct for broker-dealers.
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