Insights & News

Stradley Ronon Attorneys Present SEC Hot Topics Program

March 01, 2016
Firm News
PHILADELPHIA – Stradley Ronon Partner Greg DiMeglio and Counsel Peter Tsirigotis recently presented “SEC Hot Topics – Examinations, Enforcement and How to Respond” in San Francisco at a Financial Executives Alliance Northern California Networking Group event. DiMeglio and Tsirigotis fielded questions from hedge fund and private equity fund CFOs and CCOs on how to prepare for and respond to an SEC exam, what to do if an exam becomes an enforcement investigation, and SEC examination and enforcement priorities. They also discussed practical, day-to-day considerations that arise out of these priorities.

DiMeglio chairs Stradley Ronon’s securities enforcement practice group and counsels public companies, investment companies, investment advisers, broker-dealers and individuals in connection with inquiries, investigations and enforcement actions by the U.S. Securities and Exchange Commission, grand juries, state regulators and industry self-regulatory organizations. The group also has extensive experience in conducting internal investigations designed to assist companies, boards of directors and board committees in preventing or limiting the scope of potential enforcement action.

Tsirigotis is a member of Stradley Ronon’s investment management/private funds practice group. He provides legal advice to financial institutions, asset managers and investment advisers to help them develop and maintain financial products while navigating the regulatory landscape. He brings to each client representation a unique perspective on the financial services industry, having served in several senior-level legal, compliance, operations and risk roles, including as regulator, inside counsel, outside counsel, chief compliance officer and chief operating officer.

About Stradley Ronon Stevens & Young – www.stradley.com  

Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With seven offices throughout the mid-Atlantic region, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

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