| Thursday, May 18 at 1:00-1:30 pm ET | 1:00-1:30 pm ET | Your Desk! |
On May 3, 2023, the Securities and Exchange Commission adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. Among other things, the amendments require large hedge fund advisers and large private equity fund advisers to file current reports upon the occurrence of certain events that the SEC asserts could indicate significant stress at a fund or investor harm.
Our expert panelists – including Quinn Emanuel partners Dabney O’Riordan, a long-serving head of the SEC Enforcement Division’s Asset Management Unit (AMU), and Michael Liftik, a former Deputy Chief of Staff of the SEC, along with Igor Rozenblit, Managing Partner of Iron Road Partners and a former Co-Chief of the SEC’s Private Funds Unit – will discuss the scope of the amendments, the Examinations and Enforcement Divisions’ focus on private funds, how to avoid potential reporting pitfalls, and when to call in help.
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Dabney O’RiordanPartner, Quinn EmanuelDabney O’Riordan is a partner in Quinn Emanuel’s SEC Enforcement practice where she primarily focuses on securities-related government inquiries and litigation, particularly for private investment firms and other asset managers. Dabney has extensive experience managing investigations and litigation, in particular matters involving the asset management industry, including advisers to private equity funds, hedge funds, venture capital funds, mutual funds, ETFs, business development companies, and separately managed accounts. In addition to representing clients in connection with SEC and other government matters, Dabney provides compliance counseling to asset managers.
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Michael LiftikPartner, Quinn EmanuelMichael Liftik is Co-Chair of Quinn Emanuel’s SEC Enforcement practice, and Co-Managing Partner of the Washington, D.C. office. His practice focuses on government and internal investigations, regulatory enforcement defense, securities litigation, cryptocurrencies, congressional investigations, crisis management, and cybersecurity. Michael has extensive experience as a securities litigator, having worked on matters stemming from major securities regulatory crises, including market timing and late trading, stock options backdating, and the 2007-2008 financial crisis. Michael spent nearly a decade at the Securities and Exchange Commission where he developed a unique depth of knowledge working on enforcement and regulatory matters at all levels of the Commission. |
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Igor RozenblitManaging Partner, Iron Road PartnersIgor is a leading expert in financial regulation who helped shape the U.S. Securities and Exchange Commission’s regulatory approach to the private capital markets. Igor focuses on helping clients successfully navigate a broad range of challenges stemming from regulatory examinations, investigations, litigation, disputes and other crisis scenarios. Igor’s unique combination of investing experience, due diligence expertise and decade of service as the SEC’s primary private markets expert allows him to provide insightful and practical guidance to clients grappling with complex regulatory and operational issues. |
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Kurt Wolfe (Moderator)Of Counsel, Quinn EmanuelKurt Wolfe is Of Counsel in Quinn Emanuel’s SEC Enforcement Practice. His practice focuses on government and internal investigations, regulatory enforcement inquiries, and securities litigation. Kurt has a wealth of experience representing clients in complex, bet-the-company investigations and enforcement actions, including matters stemming from the Allen Stanford Ponzi scheme, Operação Lava Jato in Brazil, so-called “princeling” hiring practices, the Scott Rothstein Ponzi scheme, and the Adelphia accounting scandal. |