New Rules, Proposed Rules, Guidance and Alerts –
PROPOSED RULES –
Agencies Propose Volcker Rule Amendments Relating to Covered Funds –
On January 30, 2020, the Federal Reserve Board, FDIC, OCC, SEC and CFTC proposed...more
3/3/2020
/ Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment Fund ,
Investment Funds ,
New Guidance ,
OCIE ,
Proposed Rules ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Sub-advisers ,
Volcker Rule
New Rules, Proposed Rules, Guidance and Alerts -
PROPOSED RULES -
SEC Proposes Amendments to Auditor Independence Rules -
On December 30, 2019, the SEC proposed amendments to Rule 2-01 of Regulation S-X, which sets...more
2/4/2020
/ Auditor Independence ,
Auditors ,
Derivatives ,
OCIE ,
Private Funds ,
Proposed Amendments ,
Retirement Plan ,
Risk Alert ,
SEC Examination Priorities ,
SECURE Act ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swaps