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On Wednesday, November 2, 2011, Sutherland's BDC and Alternative Assets Practice Team hosted a Quick Call "BDC Compliance: Understanding the Regulatory Perspective." They were joined by John H. Walsh, a 23-year veteran of the U.S. Securities and Exchange Commission (SEC) from the Office of Compliance Inspections and Examinations (OCIE), who recently joined Sutherland.
At the SEC, John played a key role in creating the OCIE, designing and implementing the SEC's securities compliance examination practices, first as a Senior Advisor for Compliance Policy then as Associate Director-Chief Counsel. The OCIE administers examinations of the nation's registered entities, including broker-dealers, investment managers, funds, self-regulatory organizations, and others. OCIE's responsibilities will be increasingly focused on identifying areas for securities enforcement and further regulation.
This Quick Call focused on:
- How SEC staff views on compliance are shaped by enforcement actions
- Common BDC compliance issues
- Red flags for OCIE examiners
- How to prepare now for your next OCIE exam
To listen to a replay of the Quick Call, click here.