Debra Franzese, Dan Bresler and Philip Moustakis featured on AIMA’s Quarterly US Enforcement Roundup – Q2

June 23, 2022

2022 has been an active year for the SEC thus far. In Q1, the SEC proposed sweeping changes to the regulation of private fund advisers and the Division of Examination (the “Division”) issued a risk alert on private fund adviser examination observations. In Q2, the Division announced its 2022 examination priorities, which include ESG investing, valuation, conflicts of interest, fees and expenses and digital assets/cryptocurrency. The Division of Enforcement team has been active as always as well. During this 60 minute discussion, Seward & Kissel partners Debra Franzese and Dan Bresler and counsel Philip Moustakis  discuss their observations regarding SEC Examinations and Enforcement trends to date and what advisers should be thinking about as a result for the remainder of the year.

Click here to view the webinar.