Asset Management Corner

Эпизоды

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  Season 2, Episode 7: SEC Enforcement Gets Reinforcements, Liquidity Solutions, and World Cup Results 30.07.2026 22мин

  In this episode of Asset Management Corner, Chris and Andrew discuss the SEC's rulemaking agenda, the return of Os Nawaz to the SEC as the new principal Deputy Enforcement Director, and a recent enforcement action involving an ETF. They also take stock of their World Cup predictions. Then they are joined by Danek Freeman, a partner in Weil's Banking and Finance practice where he talks about the fast-moving world of private fund finance, including the increasing use of NAV credit facilities.   
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  Season 2, Episode 6: The Feds Are Here: DOJ Interest in Prediction Markets and Valuation Concerns. (And Knicks Talk) 17.06.2026 38мин

  In this episode of Asset Management Corner, Andrew and Chris discuss two recent Supreme Court cases, Exam’s risk alert involving economic conflicts of interest, the new Enforcement Director’s first speech, and the first charges by this Commission of the whistleblower protection rule (Rule 21F-17).  They are then joined by their first government guest:  Andrew Thomas, Co-Chief of the Securities and Commodities Fraud Task Force at the United States Attorney's Office for the SDNY.  Andrew T. talks about enforcement in the prediction market space, the SDNY’s interest in private fund valuations, the DOJ’s cooperation and self-disclosure program, and the state of parallel investigations with the SEC. Then they talk Knicks basketball.
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  Season 2, Episode 5: Place Your Bets: Prediction Markets Go Mainstream and Form PF Changes 13.05.2026 27мин

  In this episode of Asset Management Corner, Andrew and Chris share additional observations on the proposed Form PF amendments, discuss the recent arrest of a U.S. soldier accused of “insider trading” tied to the removal of a foreign head of state, and explore how advisers should address prediction markets in their compliance programs. They are then joined by Maryellen Maurer, Managing Director at Standish Management and former member of the SEC Division of Examinations’ Private Funds Unit. Maryellen reflects on her experiences as an in-house compliance officer, compliance consultant, and regulator, and discusses current trends she is seeing in SEC examinations of advisers. They wrap up with summer travel plans, including Maine, lobster rolls, Mount Rushmore, the Outer Banks, and avoiding hantavirus.
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  Season 2, Episode 4: New Enforcement Director, New Rulemaking, Linen Suits, and the “Soccer” World Cup 22.04.2026 37мин

  In this episode of Asset Management Corner, Andrew and Chris discuss the announcement of David Woodcock as the new SEC Enforcement Director, the proposed amendments to Form PF, and some notable enforcement actions. Then they are joined by Adam Huckle, a partner in Maples Group’s Regulatory & Financial Services and Dispute Resolution & Insolvency teams in the Cayman Islands. The guys discuss the critical role the Cayman Islands plays in the world of private funds, the fascinating history of the tax status of the Cayman Islands, and how Adam ended up with Chris and Andrew’s dream job. They finish by making their picks for the “Soccer” World Cup (which Adam couldn’t bring himself to say).
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  Season 2, Episode 3: SEC Exams, Private Funds Enforcement, and…The Pitt 10.03.2026 34мин

  In this episode of Asset Management Corner, Andrew and Chris discuss another important Enforcement action involving a private fund adviser, the new SEC Enforcement Manual, and Enforcement Director Ryan’s first speech. Then they speak with Pete Driscoll, partner at PWC and former head of the Division of Examinations, to reflect on the evolution of Exams, discuss the SEC’s policymaking agenda, and analyze the importance of valuation in the retailization of private markets. The guys finish with a discussion of shows they’re watching, including a medical drama, a biographical romance anthology, and one of the few investment shows out there.   
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  Season 2, Episode 2: Predicting the Future: AI, Corporate Cooperation, Prediction Markets, and Super Bowl Picks 11.02.2026 28мин

  In this Super Bowl edition of Asset Management Corner, Andrew and Chris discuss SEC Director Brian Daly's speech on AI, U.S. Attorney Jay Clayton's interview at the recent Securities Docket conference, where he made news on prediction markets and corporate cooperation, and Andrew’s and Chris’s picks for the big game. They then catch up with friends and colleagues Robert Baker from ACA Group (and a former SEC leader) to discuss SEC exam prep, and Chris Scully from Weil to discuss filing deadlines.  
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  Season 2, Episode 1: Private Markets: Now Serving, Retail 27.01.2026 34мин

  In this season two premiere episode of the Asset Management Corner podcast, Andrew Dean and Christopher Mulligan reconnect with former SEC colleague Michael Spratt, who is now a leader at the Investment Company Institute, to discuss the retailization of private funds, among other topics. Andrew and Chris also break down some Marketing Rule updates, including the infamous footnote 590, and this Commission’s little noticed take on so-called shadow trading. 
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  Episode 7: Nothing Ventured, Nothing Gained: VC, Crypto, and Silicon Valley 08.12.2025 22мин

  In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan sit down with Scott Walker, the Chief Compliance Officer at Andreessen Horowitz (aka a16z) to discuss all things VC and crypto. Scott’s varied background, including as the SEC’s expert on digital assets and blockchain technology, gives him a unique perspective on the intersection of compliance and crypto. Andrew and Chris also discuss some recent changes to the SEC’s Wells process.
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  Episode 6: Put the Word Out: The SEC Is Back Up 19.11.2025 27мин

  In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan discuss how the SEC has hit the ground running after a record-breaking federal government shutdown. Andrew and Chris discuss what that means, and give their first take on the newly released priorities from the Division of Examinations. Later, Andrew Chizzik and Stephanie E. Srulowitz, Co-Heads of Weil’s Private Funds Practice, join them to talk the state of the fundraising environment, important considerations for new advisers, and the current state of secondaries, all with a compliance overlay.
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  Episode 5: The Shutdown Episode 06.10.2025 36мин

  In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan discuss how the federal government shutdown impacts the SEC, even if it is short lived, and how we did not see the SEC bring the typical flurry of enforcement actions at the end of its fiscal year. Later, Tana Ryan, a partner in Weil’s Private Equity practice and the Managing Partner of Weil’s Los Angeles office, joins them to talk M&A dealmaking trends and give her perspectives on the regulatory environment.
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  Episode 4: Putting the Intelligence in AI 08.09.2025 29мин

  In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Weil’s own Olivia Greer to discuss how advisers should be thinking about artificial intelligence. They take on all things AI, including the intersection of federal, state, and foreign laws and regulations; policies and procedures; recording keeping; SEC Enforcement and Examinations interest; and the connection to cybersecurity. Andrew and Chris also discuss two SEC enforcement matters involving large retail advisers, plus the first Marketing Rule case under this Commission.
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  Episode 3: Welcoming the Podfather and New SEC Director of Enforcement 27.08.2025 26мин

  In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Patrick Hayes, the podfather of securities compliance podcasts.  They discuss Patrick’s NSCP podcast; the SEC’s new Director of Enforcement and coming changes; a very active Division of Examinations; how SEC enforcement actions impact industry compliance and SEC examinations; and advisers’ focus on the retailization of private funds and artificial intelligence. Featured guest:Patrick Hayes, Chair of the NSCP Board of Directors and Partner at Calfee Halter Andrew and Chris offer timely, practical discussion on these developments, particularly for compliance officers, private funds, retail advisers, registered investment companies, financial professionals, investors, and anyone interested in financial regulation. Future episodes will release monthly, or more frequently as hot developments warrant. Visit the Asset Management Corner homepage for an episode catalog.
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  Episode 2: Retailization, AI, and the SEC’s Private Funds Unit 23.07.2025 29мин

  In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Igor Rozenblit and Jennifer Duggins, senior compliance professionals and former examiners from the SEC’s Private Funds Unit. They explain the PFU’s role within the Division of Examinations at the SEC, and discuss hot topics of the day, including the retailization of private funds and compliance in the world of artificial intelligence.    Then Andrew and Chris break down the SEC’s dismissal of a lawsuit involving the liquidity rule and what it means going forward, and put in perspective a recent story about private equity fund valuations. (NB, FinCEN announced its intention to postpone the effective date of the AML rule shortly after recording.)
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  Episode 1: Change is Afoot! 01.07.2025 24мин

  In the inaugural episode of Asset Management Corner, former senior SEC officials Andrew Dean and Chris Mulligan dive into the sweeping changes underway at the SEC. From new leadership and shifting exam priorities to upcoming rules and enforcement trends, this episode offers expert insights into what compliance officers, fund managers, and legal professionals should expect in the months ahead. Andrew and Chris also preview the podcast's format, share predictions on guidance vs. rulemaking, and offer practical takeaways on how to stay prepared amid regulatory change.