Compliance & Regulation

The two-stage process is based on analysis of common risks and 'transmission channels.'
The bureau wants to partner with private equity firms to understand and address the emerging threats facing the industry.
Legal and law concept
‘Each part of the rule is unnecessary, unworkable, and unduly burdensome,’ lawyers say in opening brief.
Penalties top $5bn, Grewal seeks 'three Es.'
Study guide promises closer looks at marketing rule, valuations
‘We are now in a world where banks lend, but nearly all the risk is transferred to investors,’ Democrat Crenshaw says.
As Washington pressures the industry, advice-of-counsel is becoming 'fertile ground' for litigation.
The IAA suggests the SEC use the number of employees as the appropriate standard for determining the impact of its regulations on small advisers.
Opinions vary, and the real-world impacts of the rules are uncertain – lawyers are up in arms, while GPs are worried and dreaming of money flowing out of firms like a homeowner with a plumbing issue. 
Backspace delete computer keyboard
‘Quality controls and audit standards are necessary to maintaining this essential gatekeeping role,’ SEC says in fifth ‘gatekeeper’ case in two years.

Copyright PEI Media

Not for publication, email or dissemination