Compliance & Regulation

Regulators overstepped, six trade groups claim in new complaint filed in Fifth Circuit.
digital barrier door
With two major rule packages pending, SEC presses firms on how they are managing cyber-risks.
On accelerated monitoring fees and indemnities, regulators discover they’ve had the power all along – bad news for those who would have challenged the relevant initial proposals from the SEC in court.
The commission's new rules are softer than the original proposal, but still impose rigid disclosures on exempt advisers.
SEC to finalize private funds rule Wednesday, pivotal months loom for industry.
Low Section Of Female Janitor Sweeping Crumbled Paper On Floor With Broom
Multiple sources have told affiliate title RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA marketing rule, and we’ve gotten a copy of what’s described as the sweep exam letter.
The FTC’s proposed changes to pre-merger filing requirements would mandate the disclosure of certain LPs and may add significant costs to returns.
Form ADV data and industry snapshot reveal that nearly 40 percent of advisers include performance information in their ads.
The proposed rule aimed at the oversight of third-party service providers now has a timetable for final action of April 2024.
"Washington, DC, USA - October 4, 2012: The United States Securities and Exchange headquarters building located on F Street in Washington, DC. A security guard and other people are present in this photo. The U.S. Securities and Exchange Commission hold primary responsibility for enforcing federal securities laws."
The regulator said Insight charged excess management fees by inaccurately calculating management fees based on aggregated invested capital at the portfolio company level instead of at the individual portfolio investment security level.

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