On January 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Form PF, the confidential reporting form the SEC uses to collect data about certain SEC-registered investment advisers to hedge...more
Regulation -
Next on the SEC’s Regulatory Agenda: A Chief Valuation Officer? -
First, the SEC required funds to designate a chief compliance officer. Then, the SEC proposed that funds designate a liquidity...more
8/16/2016
/ Advisors Act ,
Auditors ,
BDC ,
Broker-Dealer ,
Business Continuity Plans ,
Business Development Companies ,
CFTC ,
Commodity Futures Contracts ,
Commodity Pool ,
Customer Due Diligence (CDD) ,
ETFs ,
FinCEN ,
FSOC ,
OCIE ,
Private Equity ,
Qualified Client ,
Risk Management ,
Securities and Exchange Commission (SEC)
In This Issue:
Regulatory Updates -
SEC Proposes Money Market Reform; SEC Eases Ban on General Solicitation and General Advertising in Certain Private Placements; SEC and CFTC Adopt Joint Rules to Address...more
7/19/2013
/ Broker-Dealer ,
CFTC ,
Disclosure Requirements ,
FSOC ,
General Solicitation ,
Identity Theft ,
Insider Trading ,
Investment Funds ,
JOBS Act ,
Marketing ,
Money Laundering ,
Money Market Funds ,
New Legislation ,
New Regulations ,
Nonbank Firms ,
NYSE ,
Private Placements ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Tax Reform ,
Whistleblowers
In This Issue:
Regulatory Updates - FSOC, FSB Turn Up Heat on SEC on Money Market Fund Reforms; SEC Staff: Beware of BDC Joint Transactions; SEC Reports 3,000 Whistles Blown in FYI 2012; Over 1500 Private Fund Advisers...more