Aline McCullough

Aline's practice focuses on private equity, debt finance and financial services regulatory matters. She works on a variety of debt finance and private equity transactions, including unitranche, second lien and mezzanine credit facilities and equity co-investments. Aline also represents funds, companies and investors in connection with mergers and acquisitions, as well as general corporate matters.

Firm/Organization: McGuireWoods LLP

Blogs: Subject to Inquiry

Latest Articles

Subject to Inquiry

SEC Continues Compensation Disclosure Focus With FAQs and Enforcement

By Anitra T. Cassas, Emily P. Gordy, Cheryl Haas & Aline McCullough

November 20, 2019

On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation (FAQs). Many in the industry view the FAQs as overdue SEC guidance in an area that has been a focus of the SEC Division of Enforcement. Registered investment advisers (RIAs) should review the FAQs in light of continuing enforcement actions in this area, including the…

Subject to Inquiry

Ready or Not, Prepare to Start Answering Questions About Reg BI Compliance

By Emily P. Gordy, Cheryl Haas, Alexander Madrid & Aline McCullough

October 21, 2019

On June 5, 2019, the SEC adopted Regulation Best Interest (“Reg BI”), which requires broker-dealers and associated persons to make recommendations regarding securities transactions (or investments involving securities) that are in the “best interest” of their retail clients. The SEC also adopted Form CRS, requiring broker-dealers and investment advisers to provide a brief relationship summary to retail investors, and issued two pieces of guidance regarding investment advisory activities. This Alert focuses largely on Reg BI.…

Aline McCullough

SEC Continues Compensation Disclosure Focus With FAQs and Enforcement

Ready or Not, Prepare to Start Answering Questions About Reg BI Compliance

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