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Rulemaking
Exams focus on alt data, suspicious "wins"
Swing pricing and 'hard close' would be imposed on most funds
Commission closes book on 'say-on-pay,' imposes 14 new voting categories
'Everyone’s guessing at this point'
Acting IG finds 'a persistent challenge' in agency coordination
'Many crypto-asset activities lack basic risk controls,' report claims
'Technical error' swallowed comment on 11 SEC, nine SRO proposals, regulators say
Expert sees 'drumbeat' of new regulations for advisers
The commission’s proposals could cause fundamental shifts in standard practice and market structure, if turned into final rules.
Savvy CCOs can use risk alerts as cheat sheet