SEC

'Clock is ticking,' Chairman warns

'A regulator who always says "no" is not serving investors well,' Peirce says.

'A lot of fees and potential conflicts inherent,' Chairman says

Case another example in importance of delegating compliance authority

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

Firm 'continues to lack' compliance infrastructure, regulators claim

RCW talked to experts about how firms can cut down on their risk of SEC deficiencies or enforcement cases stemming from material, non-public information problems. ...

Kirkland & Ellis has hired its fourth ESG specialist partner this year amid rising demand for ESG legal expertise from private markets clients.

A few weeks ago we reported on an apparent solution between Swiss authorities and the SEC that would open up the pipeline for new RIAs ...

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing