Financial services regulators globally are identifying sustainability and Environmental, Social and Governance (ESG) issues as key areas of concern, with the aim of encouraging greater investment in longer term and...more
The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) proposed joint amendments to Form PF, a confidential reporting form required of certain SEC-registered investment advisers...more
8/23/2022
/ CFTC ,
Commodities Traders ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
Form PF ,
Fund Managers ,
Hedge Funds ,
Investment Adviser ,
Private Funds ,
Proposed Amendments ,
Public Comment ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain “finders” from broker-dealer registration under Section 15(a) of the U.S. Securities...more
10/15/2020
/ Broker-Dealer ,
Financial Services Industry ,
Financial Transactions ,
Finders ,
Fund Managers ,
Investment Adviser ,
Investment Management ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation