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  • SEC Regulation Think-In 2020 - 15 and 16 September 2020

Thoreau Bartmann

Assistant Chief Counsel, Division of Investment Management
U.S. Securities and Exchange Commission

Thoreau Bartmann is Senior Special Counsel for the Investment Adviser Rulemaking Office (IARO) at the US Securities and Exchange Commission. Thoreau has been involved in all aspects of asset management regulation, leading a variety of rulemaking initiatives for the Division of Investment Management during his more than ten years of experience at the SEC. Recently, he was team lead for the efforts to modernize the regulation of both investment adviser marketing and fund fair valuation. Before joining IARO, Thoreau was the branch chief managing the effort that led to the adoption of structural reforms to the $3 trillion money market fund industry and was the Division’s lead on the mutual fund liquidity rule adoption and its implementation. Prior to the SEC. Thoreau was a securities enforcement associate at the law firm Fried, Frank, Harris, Shriver and Jacobson where he provided advice to private funds on issues related to late trading and market timing. Thoreau earned his J.D. from the University of North Carolina, Chapel Hill, and B.A from the University of Alabama, Birmingham.

Thoreau Bartmann will be speaking at:

The SEC’s New Marketing Rule and Issues for Advisers

2021/11/08 13:30 - 14:30

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