Troutman Pepper Locke Podcasts

Summer Enforcement Review and Raising Money in a Pandemic

Episode Summary

Every month Troutman Pepper partner Gregory J. Nowak hosts a webinar for West LegalEdcenter. This month, Greg was joined by Evan Katz for a candid review of the investment management space after the summer of 2020. Topics covered: - recent enforcement actions by the SEC – - crypto and MCAs - CFTC compliance manual release and enforcement priorities - expenses and disclosure issues - raising capital in a pandemic – is 506(c) finally living up to its promise?

Episode Notes

Every month Troutman Pepper partner Gregory J. Nowak hosts a webinar for West LegalEdcenter. This month, Greg was joined by Evan Katz for a candid review of the investment management space after the summer of 2020.

Topics covered:

• recent enforcement actions by the SEC –
• crypto and MCAs
• CFTC compliance manual release and enforcement priorities
• expenses and disclosure issues
• raising capital in a pandemic – is 506(c) finally living up to its promise?