On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection process for SEC-registered investment advisers (Advisers). The Risk Alert highlights the Division’s risk-based approach for both (A) selecting Advisers to examine and (B) determining examination focus areas and documents.

Continue reading the full GT Alert.

Tags: corporate, FRAC, GT Insight, investment management, SEC
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Photo of Arthur Don Arthur Don

Arthur Don has more than 45 years of experience representing public and private investment companies, money managers and investment advisers, mutual funds and their independent directors, private investment funds (including private equity funds and real estate funds), and broker-dealers. His practice focuses on…

Arthur Don has more than 45 years of experience representing public and private investment companies, money managers and investment advisers, mutual funds and their independent directors, private investment funds (including private equity funds and real estate funds), and broker-dealers. His practice focuses on regulatory structuring and compliance matters, governance, and sophisticated securities matters and transactions.

Throughout his career, Arthur has represented some of the nation’s most well-known and successful investment managers. His decades-long experience in the investment management arena enables him to provide bespoke counseling and strategies.

In addition, Arthur has represented issuers and underwriters in numerous public offerings. He frequently advises on independent director fiduciary duties and compliance policy issues and the implementation of ESG (Environmental, Social, and Governance) principles.

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Photo of John Warren John Warren

John Warren is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Investment Management group. John focuses his practice on forming private equity, distressed debt, venture capital and special strategy investment funds. John also represents clients…

John Warren is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Investment Management group. John focuses his practice on forming private equity, distressed debt, venture capital and special strategy investment funds. John also represents clients in connection with investments in private funds.

In addition, John has private sector experience. Prior to law school, John worked for Goldman Sachs and Guggenheim Partners, distributing private and public funds to institutions and intermediaries, where he obtained Series 7 and Series 66 securities licenses.

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