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The Regulatory RoundtableAuthor: Simpson Thacher
Simpson Thacher invites you to The Regulatory Roundtable, a quarterly podcast series offering insight from leading regulatory and enforcement lawyers. With increased regulatory scrutiny from the SEC and other agencies, staying on top of regulatory trends has never been more important. This podcast will take you behind the scenes on important policy, exam and enforcement issues affecting funds and the asset management industry. Each episode will feature leading attorneys with deep knowledge of the funds regulatory landscape who will explore todays most complex regulatory and compliance issues. We look forward to having you join us at the table. The Regulatory Roundtable. To hear about future episodes, be sure to follow the show in your favorite podcast app. To learn more about our discussion or to reach out with questions or topics you would like to hear about on a future podcast, visit our website at RegulatoryRoundtablePodcast.com. We look forward to hearing from you. This podcast was recorded and is being made available by Simpson Thacher for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher expressly disclaims all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher makes no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those Language: en Genres: Business, Government, Investing Contact email: Get it Feed URL: Get it iTunes ID: Get it Trailer: |
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At the Table: The SEC's New Era of Rulemaking and Exam Priorities
Episode 8
Tuesday, 16 September, 2025
This episode delves into the SEC’s current Commission, now a 3-1 majority, its application of regulations in rulemaking and exam priorities, and its approach to exam remediation. We examine impacts of new directors, recent asset management enforcement actions and overall trends, what we are seeing in exams within the context of registered funds and private funds, and the meteoric rise of retail access to alternative funds which we expect to be the SEC’s focus in the future. Episode Resources:09.04.25 Simpson Thacher SEC Watch: Monthly Takeaways for Asset Managers - September 202508.12.25 Simpson Thacher Partners Author Bloomberg Law Article on Potential Enforcement Changes to SEC Advisers Act Rule 206(4)-807.15.25 SEC Drops First Ever Liquidity Rule Suit Against Mutual Fund Adviser and Officers and TrusteesMeet Your Episode Hosts:Adam S. Aderton, Simpson ThacherPartner, Asset Management Regulatory and Enforcement; former Co-Chief of the SEC’s Asset Management UnitJustin L. Browder, Simpson ThacherPartner, Asset Management Regulatory and EnforcementMichael J. Osnato, Jr., Simpson ThacherPartner and Head of the Firm’s Asset Management Regulatory and Enforcement Practice; former Chief of the SEC’s Complex Financial Instruments UnitContact UsTo learn more, visit us at www.regulatoryroundtablepodcast.com. If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com. This podcast was recorded and is being made available by Simpson Thacher for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher expressly disclaims all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher makes no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher.
