The Asset Management Corner, hosted by Andrew Dean and Chris Mulligan, is a podcast that dives deep into SEC examinations, enforcement actions, and regulatory trends impacting investment advisers, private fund managers, and other financial professionals.
Asset Management Corner
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5.0(8 reviews)
13 episodes
Updated Daily
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Podcast Overview
The Asset Management Corner, hosted by Andrew Dean and Chris Mulligan, is a podcast that dives deep into SEC examinations, enforcement actions, and regulatory trends impacting investment advisers, private fund managers, and other financial professionals.
Language
🇺🇲
Publishing Since
7/1/2025
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Recent Episodes
June 17, 2026
Season 2, Episode 6: The Feds Are Here: DOJ Interest in Prediction Markets and Valuation Concerns. (And Knicks Talk)
In this episode of Asset Management Corner, Andrew and Chris discuss two recent Supreme Court cases, Exam’s risk alert involving economic conflicts of interest, the new Enforcement Director’s first speech, and the first charges by this Commission of the whistleblower protection rule (Rule 21F-17). They are then joined by their first government guest: Andrew Thomas, Co-Chief of the Securities and Commodities Fraud Task Force at the United States Attorney's Office for the SDNY. Andrew T. talks about enforcement in the prediction market space, the SDNY’s interest in private fund valuations, the DOJ’s cooperation and self-disclosure program, and the state of parallel investigations with the SEC. Then they talk Knicks basketball.
May 13, 2026
Season 2, Episode 5: Place Your Bets: Prediction Markets Go Mainstream and Form PF Changes
In this episode of Asset Management Corner, Andrew and Chris share additional observations on the proposed Form PF amendments, discuss the recent arrest of a U.S. soldier accused of “insider trading” tied to the removal of a foreign head of state, and explore how advisers should address prediction markets in their compliance programs. They are then joined by Maryellen Maurer, Managing Director at Standish Management and former member of the SEC Division of Examinations’ Private Funds Unit. Maryellen reflects on her experiences as an in-house compliance officer, compliance consultant, and regulator, and discusses current trends she is seeing in SEC examinations of advisers. They wrap up with summer travel plans, including Maine, lobster rolls, Mount Rushmore, the Outer Banks, and avoiding hantavirus.
April 22, 2026
Season 2, Episode 4: New Enforcement Director, New Rulemaking, Linen Suits, and the “Soccer” World Cup
In this episode of Asset Management Corner, Andrew and Chris discuss the announcement of David Woodcock as the new SEC Enforcement Director, the proposed amendments to Form PF, and some notable enforcement actions. Then they are joined by Adam Huckle, a partner in Maples Group’s Regulatory & Financial Services and Dispute Resolution & Insolvency teams in the Cayman Islands. The guys discuss the critical role the Cayman Islands plays in the world of private funds, the fascinating history of the tax status of the Cayman Islands, and how Adam ended up with Chris and Andrew’s dream job. They finish by making their picks for the “Soccer” World Cup (which Adam couldn’t bring himself to say).
13 total episodes available
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Frequently asked questions
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- What is Asset Management Corner?
- How often does this podcast release new episodes?
This podcast updates daily.
- Where can I listen to this podcast?
This podcast is available on 4 platforms including Apple Podcasts, Spotify, and more. You can also use the RSS feed directly.
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Information about guest appearances is not available.
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