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SEC Focus on Asset Valuation: What Fund Managers Should Know 2013


Speaker(s): Jonathan R. Tuttle, Robert B. Kaplan
Recorded on: Mar. 14, 2013
PLI Program #: 46420

Jonathan R. Tuttle is a partner in Debevoise & Plimpton LLP’s Washington, D.C. office and a member of the firm’s Litigation Department.  He regularly represents public companies, regulated financial institutions, boards of directors, audit and special committees of boards, and individual directors, officers and employees in enforcement investigations and proceedings brought by the Securities and Exchange Commission, the Department of Justice, FINRA, and the PCAOB as well as in securities class actions, shareholder derivative suits, internal corporate investigations, and a variety of other securities and finance related litigation and regulatory compliance matters.  He received his J.D. cum laude from Harvard Law School in 1992.  Mr. Tuttle is admitted to practice in Washington, D.C., Virginia and the United States District Courts for the District of Columbia and the Eastern District of Virginia.


Robert Kaplan is a litigation partner based in the Washington, DC office of Debevoise & Plimpton.  He has significant experience with a broad range of securities-related enforcement and compliance issues, including those involving requirements affecting SEC-registered investment advisors affiliated with hedge funds, private equity funds, investment companies, mutual funds and separately managed accounts.

Prior to joining Debevoise in 2012, Robert was Co-Chief of the Asset Management Unit of the U.S. Securities and Exchange Commission’s Division of Enforcement. In this role, he co-led a team of 75 lawyers and industry experts focused on investigations related to potential violations of securities laws by advisers to \ private equity funds, hedge funds,  mutual funds and separately managed accounts. He partnered with senior leadership in other divisions of the SEC to establish law enforcement priorities in the asset management industry and developed cross-agency initiatives to proactively detect violations in emerging risk areas.

During his seventeen-year tenure at the SEC’s Division of Enforcement, Mr. Kaplan also served as Assistant Director from 2004 to 2010, Assistant Chief Litigation Counsel in the Division’s Trial Unit from 1998 to 2004, and Staff Attorney and Senior Counsel from 1995 to 1998.He played a leading role in SEC enforcement actions across a variety of areas, including in actions related to Investment Advisers, Financial Fraud, Auditors, the FCPA, Broker-Dealers and Insider Trading. Robert has won several prestigious awards for his service in the Division of Enforcement, including the Chairman’s Award for Excellence and the Arthur F. Mathews Award.

Robert received his J.D. from New York University in 1992, and his A.B. B from Columbia University in 1989.