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Compliance & Regulation

The industry has long fought off attempts at this kind of regulation, but many seem to accept it as inevitable, if not necessary.
‘There’s a lot of frustration in the industry right now,’ says Goodwin partner Greg Larkin.
Whatever happens to the SEC rules, the trade group hopes the industry can unite to raise the floor on transparency.
Fourth proposal in two decades would apply Bank Secrecy Act rules to registered, exempt fund advisers.
photo of statue of Lady Justice
Scalia says rules will cost industry $5.4bn per year if left standing.
Peirce decries ‘fancy legal footwork’ in guidance
Magnifying glass on charts graphs paper. Financial development, Banking Account, Statistics, Investment Analytic research data economy.
An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations.
Judge gavel, scales of justice and law books in court
Case could 'open the floodgates' to class-action suits, business groups claim
'Scary' case should worry small- and midsized managers, expert says.
LPs are still tepid on the final rules, but still want the SEC as a referee.

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