On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of examination
Continue Reading 2023 Report on FINRA’s Examination and Risk Monitoring ProgramDouglas W. Hathaway
Douglas W. Hathaway is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Fund Formation and Investment Management Groups. He regularly counsels private equity and hedge fund sponsors in connection with the formation, structuring, capital raising activities, ongoing operations, and regulatory compliance of their funds and other alternative investment vehicles. He has represented established and emerging investment managers across an array of domestic and international strategies, including buyout equity, distressed debt, fund of funds, and alternative investment strategies. In addition, Douglas works with a number of registered funds on a number of issues including compliance, filings, and work with their independent boards.
Douglas also advises a range of investment advisers on various compliance issues.
Prior to joining the firm Douglas served in the United States Army and worked at the Federal Bureau of Investigation. During law school, he interned at the Securities and Exchange Commission’s Division of Enforcement.
2022 Report on FINRA’s Examination and Risk Monitoring Program
On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination…
Continue Reading 2022 Report on FINRA’s Examination and Risk Monitoring Program
SEC Issues Risk Alert Regarding Registered Investment Companies
On Oct. 26, 2021, the Securities and Exchange Commission (SEC) Division of Examinations issued a Risk Alert in which it identified observations from examinations under its registered investment company initiative,…
Continue Reading SEC Issues Risk Alert Regarding Registered Investment Companies
2021 Report on FINRA’s Examination and Risk Monitoring Program
On Feb. 1, 2021, the Financial Regulatory Authority (FINRA) released its 2021 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination focus…
Continue Reading 2021 Report on FINRA’s Examination and Risk Monitoring Program