Stradley Ronon Partners Gregory D. DiMeglio and Michael P. O’Hare spoke at the Investment Company Institute’s recent 2016 Legal Forum in Washington, D.C. DiMeglio and O’Hare presented “Hot Topics in SEC Enforcement and Examinations,” where they discussed mutual fund-related enforcement, enforcement coordination with the Office of Compliance and Inspections (OCIE), OCIE priorities and aggressive enforcement initiatives.

DiMeglio is chair of Stradley Ronon’s Securities Enforcement practice group. He 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.

O’Hare focuses his practice on advising investment companies (including mutual funds, closed-end funds, business development companies and private funds), independent directors, investment advisers, broker dealers and financial services organizations with regard to securities and corporate laws and regulations, compliance and transactional matters. He assists clients with fund creation and operation; business transactions such as fund and adviser restructurings, acquisitions and other corporate transactions; and negotiation of various service provider and intermediary agreements. O’Hare has particular experience with regard to corporate governance and represents both funds and fund independent directors.

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.