AIMA Regulatory Deep Dive Programme – U.S.

AIMA are hosting a programme of country-specific regulatory review sessions that cover the changes in the relevant country’s regulation and enforcement in the trailing six months and any pending or future country-specific developments that are anticipated in the next six months.

During this session, Dechert partners, Karen Anderberg and Anthony Kelly, will be discussing the Office of Compliance Inspections and Examination’s Private Fund Adviser Risk Alert, LIBOR and the U.S. Securities and Exchange Commission, and the OCIE COVID-19 Compliance Risks and Considerations Alert.

In particular, we will look at:

• The issues raised in OCIE’s examinations of registered investment advisers that manage private equity funds or hedge funds.
• Related recent enforcement actions.
• The SEC’s examination initiative on LIBOR transition preparations.
• OCIE’s recommendations in the context of COVID-19, including with regard to protection of investors’ assets, supervision of personnel, business continuity and the protection of investor information.