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The commission’s proposals could cause fundamental shifts in standard practice and market structure, if turned into final rules.
Advertising/marketing ranked as the 'hottest' topic for a second straight year in an annual survey conducted by ACA Group, Yuter Compliance Consulting and the Investment Adviser Association.
SEC alumni at ACA webinar say detailed notes of calls and 'chaperoning' are the best protective steps against potential enforcements.
The SEC has released no new staff guidance for 16 months on its proposed changes to marketing rules for investment advisers, worrying CCOs in the market.
Fund investors were charged expenses that were not covered by third-party co-investors without being told, according to the SEC.
CEO Justin Johnson and senior managing director Chad Rucker of valuations and fairness opinion provider VRC take a look at the regulator’s aims for continuation funds.
SEC announces new DOE leadership.
SEC
The impact of a new SEC climate disclosure proposal for publicly traded companies could be felt in private markets.
regulation Securities and Exchange Commission SEC GPs
Certain types of deal may not require a fairness opinion, a case likely to be made to the regulator during the ongoing consultation period.
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