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Stradley Ronon Partner Jamie Gershkow Presents on Recent Regulatory Activity, SEC Focus Areas

November 09, 2023
Firm News

NEW YORK – Stradley Ronon Partner Jamie Gershkow served on a pair of panels as part of the Investment Adviser Association (IAA)’s 2023 Compliance Workshop in New York on Nov. 8. The event, consisting of a series of workshops hosted virtually and across three cities, offered practical insights geared toward in-house and third-party compliance and legal professionals.

During her first panel, “Preparing for a Regulatory Deluge,” Gershkow and fellow presenters provided strategic guidance and updates regarding the wave of rulemaking from various federal regulatory agencies, including the implementation of recently adopted rules related to the regulation of private fund advisers, the move to T+1, and beneficial ownership reporting, as well as considerations for proposed rules on cybersecurity, outsourcing and predictive data analytics. Gershkow’s second panel, “New and Notable Focus Areas in SEC Examinations,” covered topics such as off-channel communications, the use of artificial intelligence, hedge clauses and environmental, social and governance (ESG) issues.

Gershkow focuses her practice on advising investment companies, independent trustees and investment advisers on regulatory and compliance matters and the applicability and interpretation of securities laws. She frequently counsels on the formation, registration and ongoing compliance of investment companies, including exchange-traded funds (ETFs) and money market funds, and prepares and reviews critical documents such as registration statements, proxy solicitation materials, shareholder reports, exemptive applications, compliance policies and procedures and board reports.

The IAA is a not-for-profit organization that has represented the interests of fiduciary investment adviser firms for more than eight decades.

About Stradley Ronon
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 offices in eight strategic locations, 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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