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Neuberger Berman COO says AML/KYC regs will, and should, come to the US private markets; A universal guide to valuations; State Street and iCapital join up to target HNWIs, family offices, and (eventually) retail
Retail money; big issues at the Forum; Partners slapped with lawsuit for alleged NDA breach
Attorneys general from seven states and Washington, DC claim the Commission bypassed congressional intent in approving Reg Best Interest.
Blue Wolf hires new COO; SEC examinations department comes out with its priorities for 2020
The agency's new report provides 'hallmarks' of effective compliance programs detected by the agency over the years.
'I think it’s going to be a big year for advisor regulations.'
Nearly 50 rules are being considered by the Securities and Exchange Commission.
Budget enabling SEC enforcement of Regulation BI and amended 'accredited investor' definition spell boost for private funds.
The US House's $1.4trn budget gives free rein to SEC chairman Jay Clayton to pursue Reg BI, but it forbids corporate spending disclosure rules.
At its peak, more than five dozen broker-dealers signed on to sell GPB's funds. The B-Ds earned commissions of between 8% and nearly 12%, SEC records show.
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