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The "rules will bring greater transparency to investors regarding preferential treatment, often arranged through side letters. Under the rules, advisers will be able to continue ...
It "is our imperative, our mandate, our responsibility, to protect all investors – large and small .... I have the unfortunate distinction of learning that investors of ...
The "Commission no longer is content to regulate private fund advisers to the same extent as other investment advisers. Instead, private fund advisers will be ...
"Examinations have revealed risks that advisers to private funds disclose inaccurate, incomplete or misleading information, engage in disparate treatment of investors, and often inadequately address ...
"If a mutual fund receives a request from its transfer agent that the Commission required the transfer agent to make, fund counsel reasonably will view ...
You have until Oct. 10th to comment on the SEC's proposal directed at AI-related technology and conflicts involving IAs and B-Ds
"It is important that any rate used to replace LIBOR be robust and not ill clad. Certain alternatives being considered in the markets, however, present ...
"We live in an historic, transformational age with regard to predictive data analytics and the use of artificial intelligence"
Increase in exam staff would enhance ability to address risks in the crypto markets, and cyber and information security, among other things
"Requiring firms to subject certain types of technologies to a uniquely onerous review and conflict remediation process is not technology neutral"