Compliance & Regulation

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Ripple effects on regulatory filings and public access offerings may also affect valuations, creating a vicious cycle, with managers likely to further lean on continuation funds as a result.
The government shutdown is respite, not rescue, for compliance teams, and what NASAA’s annual enforcement report doesn’t say
IMF rings nonbank alarms; House GOP introduces democratization bill.
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Gavin Newsom's signature may revive state efforts to curb private markets’ influence on healthcare; MFA lays out five principles for a more democratic retirement world.
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What the current government shutdown spells for regulatory matters, and how the EU’s approach to AI might not cross the pond.
Trade commission chair Andrew Ferguson walks a fine line, the SEC’s Caroline Crenshaw sees a retail ‘collision’ ahead and the MFA hires a new gun.
Governor Gavin Newsom vetoed similar measures last year, but legislators still view private funds in healthcare as a problem to be solved.
In the midst of its own transition, the SEC’s investor advisory committee recommends enhanced ’40 Act protections, shuns Reg D.
Kicking the can down the road
Atkins hints at stripped-down rules, wonders ‘whether we can reduce the number of advisers required to file the form;’ Crenshaw sees Commission ‘weaseling’ out of law.
A lawsuit challenging the SEC’s accredited investor standards could accelerate democratization, Uyeda sees valuations as ‘key,’ endowments’ year of living dangerously and the commission may extend the Form PF deadline (again).
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