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Episode 2: Retailization, AI, and the SEC’s Private Funds Unit
Asset Management Corner
29 minutes 39 seconds
3 months ago
Episode 2: Retailization, AI, and the SEC’s Private Funds Unit
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.)
