Securities Laws in 2014: SEC Examinations of Investment Advisers and Privately-Managed Funds
Overview:In a two hour live webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss the significant and latest issues with respect to the SEC examinations of investment advisers and privately-managed funds to comply with federal securities laws.
Key topics include:
- SEC examinations of investment advisers and privately-managed funds in 2014: an overview
- Emerging trends and issues
- Recent cases and impacts
- Strategies, techniques and best practices
- Latest regulatory updates and a lot more!
U.S. Securities and Exchange Commission
- Overview of exam process…how firms are selected, red flags, due diligence, document requests, outside inspections, final results reporting
- Exam initiative of private fund advisers, exam deficiencies, four categories of illiquid securities, custody rules
- Best practices for valuation
- The rest of the panel will offer 10 minute presentations and then revert to a full panel discussion
Stout Risius Ross, Inc.
- Valuation related issues
Stout Risius Ross, Inc.
- Valuation related issues
Gibson, Dunn & Crutcher LLP
- Role of outside counsel and how the evolving environments factors into it
- Multiple parties and their obligations
- Value of having conversations with regulator directly
- Educating clients on need for documentation
Who Should Attend:- Chief Compliance Officers
- Compliance officer
- Investment advisers
- General Counsel
- Senior Management
Andy Ganguly is a Staff Accountant in the SEC’s Los Angeles Regional Office, leading examinations of registered investment advisers and investment companies. He is a CFA charterholder and a Certified Public Accountant. He obtained his undergraduate degree in Economics and Accounting from the University of California, Los Angeles. He has been with the SEC since 2009. Among other roles with the SEC, Andy serves as the chair of the Portfolio Valuation and Alternative Assets Group under OCIE’s Valuation Working Group.
Andy Ganguly is a Staff Accountant in the SEC’s Los Angeles Regional Office, leading examinations of registered investment advisers and …
Harris Antoniades is a Managing Director with SRR, based in the Los Angeles office and leads the firm’s complex securities and value analytics practice area. He has extensive corporate finance experience, with emphasis in complex securities and derivatives valuations, advance financial analytics, and risk management issues. His valuation and financial advisory services experience encompasses a broad range of asset classes, including equities, all types of derivatives, structure products, and fixed income securities for financial and tax reporting purposes, M&A and strategic planning analyses.
He earned his Ph.D. in chemical engineering from UCLA, while he was a Fulbright scholar. He is a CFA chartholder and holds the FRM designation. He was a lecturer in finance at the University of Cyprus and a visiting lecturer at the Mechanical and Aerospace Engineering department at UCLA.
Harris Antoniades is a Managing Director with SRR, based in the Los Angeles office and leads the firm’s complex securities …
Christina E. Carroll is a Managing Director in the Valuation and Financial Opinions Group where her responsibilities include providing valuation and transaction related advice. Her experience includes rendering fairness opinions, solvency and related transaction opinions to board of directors, special committees, financial institutions, pension funds and other fiduciaries in conjunction with mergers & acquisitions, going private transactions, spin-offs, recapitalizations and financing transactions. Ms. Carroll also performs independent valuations of businesses and securities for tax, financial reporting, estate and gift tax planning, Employee Stock Ownership Plans and other purposes.
Ms. Carroll received a B.A. in economics and business, with magna cum laude and Phi Beta Kappa honors from the University of California, Los Angeles, and an M.B.A. from the Anderson School at UCLA. Ms. Carroll is a member of the CFA Institute, and has earned the Chartered Financial Analyst designation. She also serves on the Board of Directors of the Los Angeles Regional Foodbank.
Christina E. Carroll is a Managing Director in the Valuation and Financial Opinions Group where her responsibilities include providing valuation …
Jennifer Bellah Maguire is a partner in Gibson, Dunn & Crutcher's Los Angeles office and is co-chair to the firm's Investment Fund Group. Ms. Bellah Maguire's practice focuses on private equity fund formation and mergers and acquisitions, including public company transactions and divestitures. Chambers Global: The World’s Leading Lawyers for Business has recognized her as a leading lawyer from 2012-2014 in the area of Private Equity: Buyouts and from 2012-2013 in the areas of Investment Funds: Private Equity: Fund Formation. Currently and for the past several years, Chambers USA has recognized Ms. Bellah Maguire as a leading lawyer in the areas of Private Equity: Fund Formation and Buyouts, in California Corporate M&A: Private Equity and in Southern California Corporate M&A. International Financial Law Review (IFLR1000) named her as a Leading Lawyer in US Private Equity 2006 through 2008 and 2010, 2011. Ms. Bellah Maguire was shortlisted for the Chambers USA ‘Women in Law’ Awards in the Corporate M&A Lawyer of the Year category, 2012. She has also been named as one of the “Most Influential M&A Advisors” (2013) and ranked among "The Best of the Bar" for Corporate Transactions (2007) by The Los Angeles Business Journal. Recently, Ms. Bellah Maguire was selected among the nation's leading attorneys for the Securities/Capital Markets Law category in the 2011, 2012 and 2013 editions of The Best Lawyers in America and was named to the International Who’s Who Private Fund Lawyers for 2011.
Ms. Bellah Maguire has represented a number of groups in raising leveraged buy-out, venture and other funds, including the $6 billion leveraged buy-out fund raised by Leonard Green & Partners in 2012. Her going private experience includes the sale of SPARTA and the acquisition of The Sports Authority.
Ms. Bellah Maguire holds a bachelor of arts from Bryn Mawr College, magna cum laude, and studied for one year at Sorbonne University in Paris, France. She was awarded a Watson Foundation Fellowship following college. She graduated from the University of California, Berkeley, School of Law, where she was a member of the Order of the Coif and served as an Associate Editor for the California Law Review. She speaks and writes French fluently and practiced in the firm's Paris office. Prior to joining the firm, she served as law clerk for the Honorable Mary M. Schroeder in the United States Court of Appeals for the Ninth Circuit.
Ms. Bellah Maguire is a member of the Board of Trustees of the Otis School of Design and a founding member of the board of the Los Angeles Ballet.
Jennifer Bellah Maguire is a partner in Gibson, Dunn & Crutcher's Los Angeles office and is co-chair to the firm's …
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
NASBA Field of Study:
Specialized Knowledge and Applications
NY Category of CLE Credit:
2.0 CPE (Not eligible for QAS (On-demand) CPE credits)
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About U.S. Securities and Exchange Commission
About Stout Risius Ross, Inc.
Stout Risius Ross (SRR) is a premier global financial advisory firm that specializes in Investment Banking, Valuation & Financial Opinions, and Dispute Advisory & Forensic Services. We serve a range of clients from Fortune 500 corporations to privately held companies in numerous industries around the world. Our clients and their advisors rely on our premier expertise, deep industry knowledge, and unparalleled responsiveness on complex financial matters. For more information, visit www.SRR.com.
About Gibson, Dunn & Crutcher LLP
Gibson, Dunn & Crutcher LLP is a full-service global law firm, with more than 1,100 lawyers and 18 offices worldwide, including Beijing, Brussels, Century City, Dallas, Denver, Dubai, Hong Kong, London, Los Angeles, Munich, New York, Orange County, Palo Alto, Paris, San Francisco, Sao Paulo, Singapore, and Washington, D.C. Consistently ranking among the world’s top law firms in industry surveys and major publications, Gibson Dunn is distinctively positioned in today’s global marketplace as a recognized leader in representing companies in all major industries, as well as investment and commercial banks, financial sponsors, individuals, governments and sovereign wealth funds.