Asset Management Corner

Episode 3: Welcoming the Podfather and New SEC Director of Enforcement

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Patrick Hayes, the podfather of securities compliance podcasts.  They discuss Patrick’s NSCP podcast; the SEC’s new Director of Enforcement and coming changes; a very active Division of Examinations; how SEC enforcement actions impact industry compliance and SEC examinations; and advisers’ focus on the retailization of private funds and artificial intelligence.
Featured guest:Patrick Hayes, Chair of the NSCP Board of Directors and Partner at Calfee Halter
Andrew and Chris offer timely, practical discussion on these developments, particularly for compliance officers, private funds, retail advisers, registered investment companies, financial professionals, investors, and anyone interested in financial regulation.
Future episodes will release monthly, or more frequently as hot developments warrant. Visit the Asset Management Corner homepage for an episode catalog.

Episode 2: Retailization, AI, and the SEC’s Private Funds Unit

In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Igor Rozenblit and Jennifer Duggins, senior compliance professionals and former examiners from the SEC’s Private Funds Unit. They explain the PFU’s role within the Division of Examinations at the SEC, and discuss hot topics of the day, including the retailization of private funds and compliance in the world of artificial intelligence. 
 
Then Andrew and Chris break down the SEC’s dismissal of a lawsuit involving the liquidity rule and what it means going forward, and put in perspective a recent story about private equity fund valuations. (NB, FinCEN announced its intention to postpone the effective date of the AML rule shortly after recording.)

Episode 1: Change is Afoot!

In the inaugural episode of Asset Management Corner, former senior SEC officials Andrew Dean and Chris Mulligan dive into the sweeping changes underway at the SEC. From new leadership and shifting exam priorities to upcoming rules and enforcement trends, this episode offers expert insights into what compliance officers, fund managers, and legal professionals should expect in the months ahead. Andrew and Chris also preview the podcast's format, share predictions on guidance vs. rulemaking, and offer practical takeaways on how to stay prepared amid regulatory change.