Bill Myers
'A lot of fees and potential conflicts inherent,' Chairman says
'If there’s even the remotest notion that something could cause a disclosure issue, put it in.'
SEC commissioner says the Division of Examinations’ recent alert 'raises questions of its own.'
Registered investment advisors are struggling with ESG disclosures and their policies and procedures, the SEC said in a new risk alert.
The sword of Damocles has dropped on the principals behind GPB Capital. Federal prosecutors have indicted, the SEC is suing.
New guidelines clear away a web of no-action letters and provide new guidance, possibly opening up the opportunity for private funds to innovate, but coming with their own complexities.
The Office of Compliance Inspections and Examinations’ private funds risk alert is not only a warning to the industry, but also a sign of where enforcement is heading.
The pandemic has millions working from home but it's no time to get 'complacent' with compliance, experts say in the wake of an SEC alert.
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