Take a peek at the SEC's revised regulatory agenda, be aware of this potential surprise following a regulatory action, see how PE is changing the ...
The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers
This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
Here's an example of a compliance P&P that outlines what must be reported to the firm under its code of ethics
It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue
The SEC loses again in the High Court, get ready for say-on-pay reporting, court deference to federal agencies falls, and much more
Coming on the heels of the Commission’s PF rules’ loss in court, it’s very likely parties will see the Loper decision as an invitation to ...
Here's what your peers clicked on most last month on RCW
The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right
This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...