Asset Management Transatlantic Regulatory Roundup: Differences in SEC and FCA Regulation of Fund Advisers

On this Ropes & Gray podcast, join asset management partners Eve Ellis and Jason Brown as they delve into key regulatory issues impacting clients with interests in both the United States and Europe. Specifically, they explore the differences in how the U.S. Securities & Exchange Commission (SEC) and the U.K. Financial Conduct Authority (FCA) supervise and regulate fund advisers. They compare and contrast the differing approaches to registration, oversight, and examination. Additionally, they highlight some of the current priorities for both the SEC and the FCA.