Compliance & Regulation

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.

With two major rule packages pending, SEC presses firms on how they are managing cyber-risks.

On accelerated monitoring fees and indemnities, regulators discover they’ve had the power all along – bad news for those who would have challenged the relevant initial proposals from the SEC in court.

The commission's new rules are softer than the original proposal, but still impose rigid disclosures on exempt advisers.

SEC to finalize private funds rule Wednesday, pivotal months loom for industry.

Multiple sources have told affiliate title RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA marketing rule, and we’ve gotten a copy of what’s described as the sweep exam letter.

The FTC’s proposed changes to pre-merger filing requirements would mandate the disclosure of certain LPs and may add significant costs to returns.

Form ADV data and industry snapshot reveal that nearly 40 percent of advisers include performance information in their ads.