SEC: Regulators

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 ...

"Private funds are growing, and today they’re worth about $22 trillion. That’s why I’ve asked staff how we can bring greater transparency to this market in ...

"we recently heard from the public in response to a request for comment about potential conflicts of interest and digital engagement practices, particularly in the ...

Funds should be under no illusions: At the stroke of midnight on New Year’s Eve, the LIBOR standard will die, America’s top banking regulator says. ...

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, ...

Say goodbye to the seminal Clover no-action letter from 1986 and scores of other key SEC guidance over the decades related to advertising and marketing ...

The withdrawals of, and modifications to, the statements identified in Appendix A will be effective as of November 4, 2022 (the Marketing Rule compliance date)

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 ...

The notorious GameStop raid that knocked world markets on their haunches was just what it appeared to have been: a bunch of self-described “degenerates” having ...