"The single most significant trend in securities enforcement today is the increased allocation of resources to misconduct by investment advisors," says Robert Kaplan, the former co-chief of the Securities and Exchange Commission's Asset Management Unit, which is housed within the agency's Division of Enforcement.
Kaplan left his post at the SEC and on June 1 joined the law firm Debevoise & Plimpton. He is now a litigation partner resident within the White Collar and Regulatory Enforcement Practice at the firm's Washington office.
At Debevoise, Kaplan will represent clients in a broad range of securities-related enforcement and compliance issues, particularly those involving requirements affecting SEC-registered investment advisors affiliated with hedge funds, private equity funds, investment companies, mutual funds and separately managed funds—all areas the Asset Management Unit at the SEC focuses on as well.
Complete your profile to continue reading and get FREE access to BenefitsPRO, part of your ALM digital membership.
Your access to unlimited BenefitsPRO content isn’t changing.
Once you are an ALM digital member, you’ll receive:
- Breaking benefits news and analysis, on-site and via our newsletters and custom alerts
- Educational webcasts, white papers, and ebooks from industry thought leaders
- Critical converage of the property casualty insurance and financial advisory markets on our other ALM sites, PropertyCasualty360 and ThinkAdvisor
Already have an account? Sign In Now
© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.
