Compliance & Regulation

Democratic SEC commissioner Caroline Crenshaw says she'd like to see Nasdaq and other exchanges restore redemption thresholds for SPAC shareholders.
An ESG-focused US SEC could be good news for more than just compliance consultants.
'Disturbingly' quick SEC rule changes may work against investor interests.
There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a recent deficiency letter.
More issues are falling under the ESG umbrella and firms need to develop better programs to mitigate the risks and avoid potential issues, experts say.
CEO Justin Johnson and senior managing director Chad Rucker of valuations and fairness opinion provider VRC take a look at the regulator’s aims for continuation funds.
The increased size and complexity of the market mean the Division of Examinations will cover less of the RIA market in its future examinations, but proportionately focus more on private funds.
Igor Rozenblit, who served as co-head of the SEC’s Private Funds Unit for more than 11 years, answers burning questions about the SEC's proposed new rules for private funds.
The impact of a new SEC climate disclosure proposal for publicly traded companies could be felt in private markets.
regulation Securities and Exchange Commission SEC GPs
Certain types of deal may not require a fairness opinion, a case likely to be made to the regulator during the ongoing consultation period.

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