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S&W's InhouseGo2 Blog

Joel S. Telpner

Joel Telpner, partner in the firm's New York office, is a seasoned advisor, strategist and problem solver. Mr. Telpner brings more than 30 years of legal experience in a career that includes time as an AmLaw 100 partner, the former U.S. general counsel of a global financial institution, and a venture capitalist. He is recognized for his ability to deftly manage complex financial transactions, especially those involving sophisticated structured finance and derivatives matters and has an extensive and unique combination of transactional and regulatory experience. Mr. Telpner represents a diverse client base, including financial institutions, dealers, corporations, investment managers, mutual funds, hedge funds and pension plans.
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Recent Posts

Asset Managers: Are You Ready for Your Exam? Steps You Should Take Now

Posted by Joel S. Telpner on Mar 17, 2017 10:49:35 AM

Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers (see "The Top Five ‘Gotcha’ Deficiencies Plaguing Asset Managers and How to Avoid Them"). This week, we want to get you ready for your exam.  Here are the OCIE’s examination priorities for 2017 for registered investment advisers and affiliated broker-dealers.1 This year, when conducting examinations of registered investment advisers, the OCIE’s focus will revolve around three themes:

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Topics: OCIE, investment management, retail investors, elderly and retiring investors

The Top Five "Gotcha" Deficiencies Plaguing Asset Managers and How to Avoid Them

Posted by Joel S. Telpner on Mar 3, 2017 2:29:24 PM

Let’s start with this caveat: as we all know, under the still-new Trump Administration, priorities may and are likely to change. Now that we got that off our chest, it is nevertheless not the time to sit back and wait. The SEC’s Office of Compliance Inspections and Examinations (OCIE) has just given us a list of potholes that investment advisers keep falling into. 

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Topics: Deficiencies, Compliance Rules, Regulatory Filings, Code of Ethics, OCIE, Custody Rule, Books and Records

Financial Regulatory Reform — It's Coming, Unless it Doesn't

Posted by Joel S. Telpner on Nov 21, 2016 3:30:52 PM

Many Unknowns 

If you're like me, you are constantly receiving alerts from consultants, law firms, policy shops and others, all predicting how the Trump Administration is going to dramatically change, or even gut, Dodd-Frank and other U.S. financial regulations.  As you read these prognostications, keep in mind just how well pollsters, experts and markets did in predicting the election outcome.  The reality is, nobody knows what changes the future Trump Administration may make.  The only certainty is that determining at this point how Mr. Trump might revamp our financial regulations is a fool's folly.

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Topics: Dodd-Frank, financial services, Trump, Financial Regulation

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We want to help you lead your legal department both as a manager of people and as a thought leader within your company advising your executives on the myriad legal issues that present opportunities and challenges. We also understand that you may not have time to read every decision, rule change or trend that relates to your daily life in your company, and we hope that we can help keep you up to date on the important stuff. 

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