Plan addresses enforcement and exam initiatives, the modernization of disclosures, updating exiting Commission rules and more
This is a final rule from 2022 amending the Commission's whistleblower rules
The rule also allows boards to name a “valuation designee,” and often this will be the fund’s investment adviser
Some recommended the Commission not require advisers to disclose greenhouse gas emissions’ data unless public companies are first mandated to do so
Future exams will feature a more prominent focus on the core standards of conduct and duties applicable to municipal advisors
The staff continued to observe deficiencies relating to supervision, including many of the same types observed in the 2017 Risk Alert
The ad rule defines an endorsement, in part, as anyone who directly or indirectly solicits any current or prospective client to an adviser
The regulators justify the proposed changes by noting Form PF data came up short in the early days of the pandemic
In a Q&A format, the bulletin addresses identifying, eliminating, mitigating and disclosing conflicts, as well as product menus
It’s been a long time coming but this month brings the compliance date for the SEC’s derivatives rule. Mark Aug. 19th on your calendar