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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, visit www.publiclytradedprivateequity.com.