Compliance & Regulation

Regulator reverses Trump-era rules that limit how workplace pensions can address ESG issues.
Private funds backed Dems ahead of mid-terms.
Global private equity firms are creating ESG committees to help better comply with the rule.
It’s difficult to imagine a Congress so divided would be able to address a constitutional remedy should the SCOTUS find for Cochran.
Private equity managers are relying on different methodologies to calculate net performance as the Marketing Rule’s compliance date passes
A proposed regulation governing outsourced services gives examples of what would be in the rule and what services would be outside the rule.
More than one in five cases involved fees, expenses or valuations
'Technical error' swallowed comment on 11 SEC, nine SRO proposals, regulators say.
With the November elections fast approaching, firms need to remind employees about the rules of donating to a political campaign.
Experts detail what needs to be disclosed, and when and how to disclose it, when it comes to SPAC and de-SPAC transactions, which are under heavy SEC scrutiny.

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