Mike Nooney, Tom Wuchenich and Lisa Klar Co-Host CCO Compliance Roundtable Focused on SEC Presence Examinations
03.29.13
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On March 20, 2013, Simpson Thacher private funds partners Mike Nooney and Tom Wuchenich and counsel Lisa Klar co-hosted, together with ACA Compliance Group, a CCO Compliance Roundtable in San Francisco that focused on the SEC Presence Examinations of newly-registered investment advisers. The Roundtable featured Keynote Speaker Kenneth Schneider, Assistant Regional Director, San Francisco Office, U.S. Securities and Exchange Commission, and a panel discussion moderated by Mr. Wuchenich with panelists Ms. Klar, Dan Smith, Partner, ACA Compliance Group, and Gwen Reinke, General Counsel and Chief Compliance Officer, Blum Capital Partners.