Insights & News

Greg DiMeglio and Peter Tsirigotis Present SEC Hot Topics Program

November 09, 2016
Firm News

PHILADELPHIA – Stradley Ronon Partner Gregory D. DiMeglio and Counsel Peter Tsirigotis recently presented “SEC Hot Topics – Examinations, Enforcement and How to Respond” in New York at a Financial Executives Alliance New York Networking Group event. DiMeglio and Tsirigotis fielded questions on how to prepare for and respond to an SEC exam, what to do if an exam becomes an enforcement investigation, how to respond to an SEC enforcement inquiry and SEC examination and enforcement priorities. They also discussed recent SEC actions involving private funds and what they mean for executives.

DiMeglio represents public companies, investment companies, investment advisers, broker-dealers, boards of directors, board committees, auditors, other entities and individuals in connection with examinations, investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), Department of Justice, other federal and state regulators, and industry self-regulatory organizations. He also conducts internal investigations designed to assist clients in preventing or limiting the scope of potential enforcement action. Greg was a senior counsel in the SEC’s Division of Enforcement where he was responsible for a number of significant enforcement investigations and actions and received a Division of Enforcement Director’s Award.

Tsirigotis co-chairs Stradley Ronon’s private investment 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
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.

Related Resources

back to top