Politics/Elections

Regulators seek trading documents, P&Ps, internal communications

The SEC is scheduled to publish proposed new rules on ESG metrics any day now, but neither registered investment advisers nor private fund advisers must ...

Greater scrutiny emerges of asset managers' net-zero commitments as the conference agenda moves to finance.

Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...

'We are concerned about misaligned incentives,' group says

'Clock is ticking,' Chairman warns

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

The House Financial Services Committee approved legislation that would require family offices with assets above $750 million to file Form Ds with federal regulators. Offices ...

Though in exile (for now), Congressional and SEC Republicans want to set limits on ESG rules, hoping to learn 'from the LIBOR debacle.'

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...