NY Bar – Client Email


What would you ask the SEC?

Clients and Friends:

As you may know from our client alerts and website, we have been invited to participate on a panel on SEC examinations organized by the New York Bar Association to be held at Skadden Arps this coming Thursday.

Drew Bowden, the head of the SEC’s National Examination Program for investment advisers will discuss the SEC’s priorities for private fund managers. Janaya, founder of SEC3 and a former SEC examiner and Barry Barbash, former Director of the SEC’s Division of Investment Management and currently the head of the Asset Management of Willkie Farr will be presenting the view of the industry and the new registrants.

The SEC has announced that the examination of new registrants will start shortly. In fact, some new registrant clients have already started receiving SEC requests lists.   This is a rare opportunity to ask questions to the SEC on their examination program. What is on your mind? What would you like to find out about? Please let us know and we will make sure to convey your questions. 

Please contact Linda at  Lindaksmith@seccc.com

The SEC3 Team