GRIP1 min read
Jean Hurley34 min listen
GRIP1 min read
Before joining Bovill, Valerie was an Attorney-Advisor at the U.S. Securities and Exchange Commission in the Division of Examinations where she conducted examinations of registered investment advisers and registered investment companies for compliance with federal securities laws, rules and regulations. Valerie also served as Vice-President and Senior Counsel at ALPS Fund Services, Inc., a mutual fund administrator, and Counsel at Great-West Financial (now, Empower Retirement).
Valerie holds a Bachelor of Arts degree in Philosophy from Pepperdine University and Juris Doctor from the University of Denver – Sturm College of Law. Valerie is a member of the Colorado Bar.
Practical advice for compliance teams when completing essential reviews in adherence with the SEC’s Custody Rule.
Don’t see compliance as a roadblock, help to build a culture of compliance throughout your organization.
Guidance on where to focus when preparing for the 2024 SEC exams.
Reforms bring several significant requirements applicable to private fund managers, including non-US based advisers and exempt reporting advisers.
Valerie Ruppel | Bovill9 min read
The SEC has made amendments to Form PF which will significantly affect reporting requirements for hedge fund and private equity fund advisers and include new event-triggered reporting and additions to annual filings.
Valerie Ruppel | Bovill1 min read
Who regulates crypto in the US? The industry should be prepared for more rules and more enforcement actions.
Valerie Ruppel | Bovill3 min read