Preparing for Your Firm’s Next SEC Exam: SEC Trends and Focus Areas

Speakers

• 

  Pete Wilson Chief Operating Officer, Salus GRC
  

  Pete Wilson

  Chief Operating Officer, Salus GRC

  Peter is a Founding Member of Salus GRC, serving as Chief Operating Officer and a member of the Salus GRC Management Committee.

  With over 20 years of legal and regulatory experience, Peter specializes in counseling a variety of SEC registered investment advisers, including those managing hedge funds, private equity and real estate funds. His expertise includes designing compliance programs, implementing industry best practices, conducting mock regulatory examinations, supporting regulatory filings, and performing operational due diligence. Peter also has significant experience guiding advisers through regulatory examinations and corresponding with federal and state securities regulators.

  Peter held numerous senior level management positions within the asset management industry. Prior to joining Salus GRC, he was the Head of U.S. Compliance Consulting at Kroll (formerly Duff & Phelps). Peter also served as Chief Compliance Officer and legal counsel for several SEC registered entities, including an investment adviser to a global multi-billion dollar fund-of-hedge funds and a number of mutual funds. Peter also served as Chief Compliance Officer at a CFTC registered swap execution facility where he oversaw firm-wide compliance management and strategy, as well as implemented robust controls to promote sound governance of the trading platform. Peter began his legal career in the U.S. Army JAG Corps, where he held numerous positions including prosecutor and criminal trial defense attorney.

  Peter is admitted to practice law in New York, Connecticut and before the U.S. District Court for the Southern District of New York. He holds a BBA from Loyola College and a JD with honors from Pace University School of Law.

• 

  Anne Choe Partner, Willkie Farr & Gallagher LLP
  

  Anne Choe

  Partner, Willkie Farr & Gallagher LLP

  Anne C. Choe is a partner in Willkie’s Asset Management Departmentand Chair of Willkie’s DC Associates Committee. She advises a wide range of pooled investment vehicles, including mutual funds, exchange-traded funds (ETFs), private funds (hedge funds, private equity funds and venture capital funds) and their sponsors and investment managers. She has in-depth knowledge of the various securities and other laws applicable to pooled vehicles and regularly counsels investment advisers and family offices on a variety of SEC regulatory compliance matters. A key aspect of Anne’s practice is representing investment advisers and funds in SEC examination and enforcement matters.

  Chambers USA(2020-2024) recognizes Anne in the area of Investment Funds: Regulatory & Compliance, where she is commended by clients who note that she is “professional and practical, with a keen ability to explain complex regulatory framework applications.”

  The Legal 500 U.S.(2023) recognizes Anne as a next Generation Partner in the area of Investment Fund Formation and Management: Mutual/Registered/Exchange-Traded Funds.

  Anne has significant experience in advising investment management firms in registering with the SEC as investment advisers. Additionally, she routinely counsels clients on the application of the Advisers Act, marketing rule, custody rule and “pay-to-play” rule, as well as the implementation of compliance programs as required by Rule 206(4)-7 under the Advisers Act. She also assists clients in connection with internal compliance reviews and investigations, and the development and testing of compliance programs, including with respect to insider trading and information barriers.

  Anne’s diverse practice covers advising on the creation and operation of registered open-end investment companies and ETFs and provides counsel to fund independent boards. In addition to counseling clients, Anne has built an active fund and investment adviser transactional practice. She is regularly involved in advising on investment management M&A transactions.