Today’s proposal is an explicit attempt to peel back their protections
"It is important, particularly for financial professionals, to identify and assess the ESG risks that might impact company or client, not just in this year, ...
"We should also take action to get the information we need about the effectiveness of Form CRS and the disclosures required under Regulation Best Interest, ...
"Since the adoption of Form PF, we’ve learned a lot. For example, the role of hedge funds was not immediately apparent in the March 2020 ...
"Compliance personnel should closely evaluate account opening procedures, to consider whether practices for selecting default account options or presenting or otherwise highlighting a subset of ...
"We’ve got dozens of projects at the SEC, from the structure of our stock markets to the digital engagement practices"
"Without a common set of conduct expectations, and a functional system to enforce those principles, markets tend toward corruption, marked by fraud, self-dealing, cartel-like activity, ...
"With respect to our Examinations Division, we expect registrants to produce materials and respond to requests promptly. An examination is not an enforcement action. Thus, ...
"We, as a Commission, must remain focused on assessing how our regulations affect these firms, and do what we can to encourage a new generation ...
"Private funds are growing, and today they’re worth about $22 trillion. That’s why I’ve asked staff how we can bring greater transparency to this market in ...