Regulators

Regulatory 'firsts' land uncomfortably close to private funds

Banks must prove adequate controls, obtain 'non-objection' letter from supervisory offices

Feds focused on custody, loans, stablecoins, and holding crypto assets legally

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

'Hundreds of billions of dollars in fees and expenses are standing between investors and businesses'

P&Ps untried, untested, Commission warns in new risk alert

Rulemaking-by-enforcement may be coming to private funds

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.

SEC examiners are focusing on private funds’ compliance with the custody rule, and outside auditors may not be helping, a compliance expert cautions. “We’re seeing, ...