SEC

Gurbir Grewal, the SEC’s top enforcer, is bristling at suggestions that he and his colleagues are “regulating by enforcement” in either cryptocurrency or ESG disclosures. ...

The ancient Chinese supposedly had a curse: May you live in interesting times. If they ever get a chance to reflect on the past two ...

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

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 ...

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, ...

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 ...

Nearly half of private fund advisers are trying to sub-contract their way out of their fiduciary duties, a trade association for pension and foundation managers ...

SEC Commissioner Allison Herren Lee has endorsed calls for the Commission to change the definition of “shareholder of record” for exempt private funds. “Time and ...