PF Speeches Archives | Regulatory Compliance Watch

Conflicts, Conflicts Everywhere – Remarks to the IA Watch 17th Annual IA Compliance Conference:...

Conflicts of Interest RCW Staff - February 26 2015

This is a speech that the SEC's Julie Riewe, co-chief of the Enforcement Division's Asset Management Unit, gave at an IA Watch conference in Washington, ...

Keynote Address at Columbia Law School Conference on Current Issues in Securities Regulation: The...

Fees and Expenses RCW Staff - November 21 2014

Keynote Address at Columbia Law School Conference on Current Issues in Securities Regulation: The ‘Hot’ Topics

Ceresney’s remarks to the American Bar Association’s Business Law Section Fall Meeting 2014

Examinations Enforcement: SEC Actions RCW Staff - November 21 2014

SEC Enforcement Director Andrew Ceresney in 2014 talks about a record year in cases, including an action against a private equity firm related to its ...

Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014

Form PF RCW Staff - September 11 2014

Former SEC Division of Investment Management Director Norm Champ talks about the hedge fund industry.

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PF Speeches

Blass: Staff ‘re-examining’ limits on closed-end fund offerings

SEC Enforcement chief Andrew Ceresney talks private equity enforcement, compliance issues

SEC Chair Mary Jo White recognizes overlap in FSOC’s work with the SEC’s

SEC Director of Investment Management David Grim talks about a range of issues, including private funds and Form PF

SEC Chair Mary Jo White addresses private fund advisers and lessons five years after Dodd-Frank

Conflicts, Conflicts Everywhere – Remarks to the IA Watch 17th Annual IA Compliance Conference:...

Keynote Address at Columbia Law School Conference on Current Issues in Securities Regulation: The...

Ceresney’s remarks to the American Bar Association’s Business Law Section Fall Meeting 2014

Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014

PF Speeches

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