Compliance & Regulation

This hour-long webinar features tips to prepare the new SEC-mandated form
The standard-setting body has approved guidelines that give it and state regulators the ability to override automatic risk-based capital calculations for insurance company investors in debt markets
With SEC rules scuttled, trade group seeks 'something that the industry can work together on collaboratively,' Neal Prunier says.
With the SEC’s proposed rules thrown out, private markets professionals have the opportunity to change the game instead, writes Bern Buys.
The spate of judgments against the SEC and other federal agencies could mean more regulation by enforcement over more clarity in rulemaking. And it may entrench the SEC’s recent penchant for litigation.
In wake of Fifth Circuit decision, rules should be scrapped or carve out private fund managers, groups claim.
The global study by Ocorian and Bovill Newgate also found that many compliance teams are under-resourced to deal with the heightened risk.
‘Wrong framework’, ‘Just another opponent’
Evergreen trees in forest of spruce, fir and pine
Protections weakened, LPs shoulder the burden; Exempt managers not ‘out of the woods’
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