NSCP Regulatory Interchange – Catching Up With the SEC’s Division of Examinations
On May 27, Genna Garver, partner with Troutman Pepper and NSCP board member, moderated a panel comprised of Natasha Greiner, SEC Division of Examinations (EXAMS) deputy director and national associate director for the Investment Adviser/Investment Company Examination program; Chris Mulligan, SEC Division of Examinations IA/Private Funds senior advisor and co-coordinator of the Private Funds Specialized Working Group, and Michael G. Ruffino, associate regional director in the New York regional office. Guided by questions submitted by attendees ahead of the event, this lively discussion addressed many burning questions with the panel, who graciously shared their insights.
For highlights of the program, read Cari Hopfensperger's article in the May 2023 publication of NSCP Currents.