Season 2, Episode 3: SEC Exams, Private Funds Enforcement, and…The Pitt

Season 2, Episode 5: Place Your Bets: Prediction Markets Go Mainstream and Form PF Changes

In this episode of Asset Management Corner, Andrew and Chris share additional observations on the proposed Form PF amendments, discuss the recent arrest of a U.S. soldier accused of “insider trading” tied to the removal of a foreign head of state, and explore how advisers should address prediction markets in their compliance programs. They are then joined by Maryellen Maurer, Managing Director at Standish Management and former member of the SEC Division of Examinations’ Private Funds Unit. Maryellen reflects on her experiences as an in-house compliance officer, compliance consultant, and regulator, and discusses current trends she is seeing in SEC examinations of advisers. They wrap up with summer travel plans, including Maine, lobster rolls, Mount Rushmore, the Outer Banks, and avoiding hantavirus.

Season 2, Episode 4: New Enforcement Director, New Rulemaking, Linen Suits, and the “Soccer” World Cup

In this episode of Asset Management Corner, Andrew and Chris discuss the announcement of David Woodcock as the new SEC Enforcement Director, the proposed amendments to Form PF, and some notable enforcement actions. Then they are joined by Adam Huckle, a partner in Maples Group’s Regulatory & Financial Services and Dispute Resolution & Insolvency teams in the Cayman Islands. The guys discuss the critical role the Cayman Islands plays in the world of private funds, the fascinating history of the tax status of the Cayman Islands, and how Adam ended up with Chris and Andrew’s dream job. They finish by making their picks for the “Soccer” World Cup (which Adam couldn’t bring himself to say).

Season 2, Episode 3: SEC Exams, Private Funds Enforcement, and…The Pitt

In this episode of Asset Management Corner, Andrew and Chris discuss another important Enforcement action involving a private fund adviser, the new SEC Enforcement Manual, and Enforcement Director Ryan’s first speech. Then they speak with Pete Driscoll, partner at PWC and former head of the Division of Examinations, to reflect on the evolution of Exams, discuss the SEC’s policymaking agenda, and analyze the importance of valuation in the retailization of private markets. The guys finish with a discussion of shows they’re watching, including a medical drama, a biographical romance anthology, and one of the few investment shows out there.

Season 2, Episode 2: Predicting the Future: AI, Corporate Cooperation, Prediction Markets, and Super Bowl Picks

In this Super Bowl edition of Asset Management Corner, Andrew and Chris discuss SEC Director Brian Daly's speech on AI, U.S. Attorney Jay Clayton's interview at the recent Securities Docket conference, where he made news on prediction markets and corporate cooperation, and Andrew’s and Chris’s picks for the big game. They then catch up with friends and colleagues Robert Baker from ACA Group (and a former SEC leader) to discuss SEC exam prep, and Chris Scully from Weil to discuss filing deadlines.

Season 2, Episode 1: Private Markets: Now Serving, Retail

In this season two premiere episode of the Asset Management Corner podcast, Andrew Dean and Christopher Mulligan reconnect with former SEC colleague Michael Spratt, who is now a leader at the Investment Company Institute, to discuss the retailization of private funds, among other topics. Andrew and Chris also break down some Marketing Rule updates, including the infamous footnote 590, and this Commission’s little noticed take on so-called shadow trading.