SEC Requests

Update: 2022-09-13

Description

In this episode of Fully Invested, Ropes & Gray asset management attorneys Nicole Krea, Jessica Marlin, and litigation & enforcement attorney Matt McGinnis introduce listeners to the contours and typical lifecycles of SEC examinations for registered investment advisers.

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In Channel

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2025-10-2716:03

The Rise of CITs – Why They’re a Compelling Path for Asset Managers Entering the 401(k) Plan and Retail Markets

2025-10-1414:17

Exchange Act Registered Private Funds (’34 Act)

2025-06-0914:10

What to Know About Private Equity Operating Companies

2024-02-0613:58

SEC Requests

2022-09-1314:33

Private Credit Funds

2022-08-0911:18

Fund of Funds

2022-07-2611:14

Derivatives Trading Agreements

2022-07-1209:51

Form ADV

2022-06-2816:54

Retailization of Private Fund Products

2022-06-1719:44

Co-Investments

2022-06-0810:40

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SEC Requests

Ropes & Gray LLP

SEC Requests