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A 'framework' approach, summa of chairman Jay Clayton's SEC career, comes over Democratic objections.
Spreadsheet bank accounts accounting with calculator and magnifying glass.
Amendments to the SEC’s auditor independence rule make it easier for firms and their auditors to manage their relationships without violating SEC compliance.
Fund of funds arrangements, derivatives, fund valuation, advertising and solicitation are all on the agenda.
It's been a chore to lure accountants in throughout this year of the pandemic.
For large asset managers, the attraction of retail investors could mean an expanded wealth management bench. Others aren’t so sure.
The SEC’s Asset Management Advisory Committee is considering possible recommendations on ESG investments, including a regime of strong intervention in the market to ensure investments are living up to their claims.
SEC chairman Jay Clayton wants an overhaul of the advertising rule that would bring private funds into scope by year end. The proposal has industry representatives up in arms.
The Office of Compliance Inspections and Examinations’ private funds risk alert is not only a warning to the industry, but also a sign of where enforcement is heading.
SEC passes rule that supporters hope will attract more retail investors into private capital markets.
The SEC has widened the definition of accredited investor in the hopes of bringing more ordinary people into the $23trn private funds market.

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