Search for Events
Search by date
Choose From Date
Choose To Date

BDC Compliance: Understanding the Regulatory Perspective

November 2, 2011

BDC Quick Call

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.

Our Story

Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
Add this page to MYBRIEFCASE
Events - BDC Compliance: Understanding the Regulatory Perspective
Save ChangesDownload MYBRIEFCASEClear All