Compliance & Regulation

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‘Quality controls and audit standards are necessary to maintaining this essential gatekeeping role,’ SEC says in fifth ‘gatekeeper’ case in two years.
US Securities and Exchange Commission building in Washington DC
The notice puts the industry on the clock.
In the wake of the most sweeping regulations since the financial crisis, Gensler was grilled this week by members of the Senate’s Banking, Housing and Urban Development committee about the new private fund rules.
Bill requires all large companies to track and report Scope 1, 2 and 3 emissions
The SEC cannot mandate standalone compliance departments, but the burdens of new rules may make it inevitable.
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
A footnote in the US Securities and Exchange Commission's new rules suggests continuation funds structured as cross fund trades won't be subject to third-party fairness opinion and valuation letters.
'The clock is still ticking'
SEC enforcements pick up before end of fiscal year.
Regulators are focused on prior deficiencies, discipline, leadership changes and ‘market stresses.'
Regulators overstepped, six trade groups claim in new complaint filed in Fifth Circuit.
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