The New SEC and Asset Management Priorities

Voltaire Advisors 2nd Annual Workshop on Fund Valuation for Mutual & Private Funds, Advisors and Service Providers

The New York Athletic Club | Tuesday 25th April 2017

2017 Agenda

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2017 Slide Deck

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Keynote | Norm Champ, Partner at Kirkland & Ellis & former Director of Investment Management Division, SEC

Norm looked at the prospects for Dodd-Frank rulemaking under the new administration and will examine the SEC's priorities for asset management in 2017

Workshop also covered ...

  • Recent SEC & Legal Issues Involving Fund Valuation
  • Fixed Income Benchmarks & Indices
  • Valuation of Alternative Assets - Private Equity, Debt & Real Estate
  • Fund Liquidity Management Rules
  • Recent Issues with Bond Pricing

Norm Champ, Partner, Kirkland & Ellis LLP

Norm Champ is a partner in the New York office of Kirkland & Ellis LLP. Norm is a member of the Investment Funds Group. Previously, Norm was the director of the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC). Norm’s book, Going Public, about his experiences at the SEC is due out from McGraw-Hill in 2017. While at the SEC, Norm played a key role in the SEC’s completion of landmark reforms in 2014 to strengthen the $3 trillion money market fund industry, and led important structural and policy changes. He was the leader of interactions with the Financial Stability Oversight Council as the Council turned its attention to whether asset management firms are “systemically important.” He also worked on crisis management efforts at securities firms to protect customers of those firms. Norm also headed the creation of Guidance Updates and Senior Level Engagement initiatives created to provide transparency to the industry and to engage with boards and senior management of asset management firms. Prior to becoming the Director of the Division of Investment Management, he was the Deputy Director of the SEC’s Office of Compliance, Inspections and Examinations (OCIE) and the Associate Regional Director for Examinations in the SEC’s New York Regional Office. In these capacities he supervised SEC examinations of investment advisors, investment companies, broker-dealers, national securities exchanges, credit rating agencies, clearing firms and other market participants.

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