Regulation

Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the customer’s account is opened.'

Deal documents bound employees to expansive MNPI rules; division head also pushes co-operation for leniency in personal messaging cases, notes AI usage risks.

Registrants broke through triple digits at the industry organization’s London event, where the mood was optimistic, though the near-term future is filled with uncertainties.

Risk alert identifies shortcomings in advisers' P&Ps which "resulted in gaps for preventing violations of the marketing rule, books and records rule, or both."

A recent settlement likely means the SEC is already investigating the private funds sector for compliance breaches related to electronic messaging.

Proposed rules from the SEC impose significant new regulatory burdens on registered investment advisers and funds, according to Debevoise & Plimpton partners Charu Chandrasekhar and Kristin Snyder

Regulation, technology and shifting investor demands are changing what GPs require of fund service providers

Private markets regulation is proliferating at speed and service providers need to keep pace

'Healthcare markets are a key site' in battle to reshape American society, top trustbuster says.

Nonbinding vote another signpost on Gary Gensler’s long and fraught road to reform