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"The funds we requested will support only about a 5 percent increase in the number of staff that examine investment advisers"
The Biden nominees speak to the president’s diversity agenda as Lizárraga is Hispanic and Uyeda is Asian
"I believe any regulatory response to digital assets must include measures to bring additional transparency to the conduct that makes this innovation possible"
"This fiscal year, this division is again on track to complete approximately 3,000 examinations [of IAs], which are critical to ensuring that firms comply with ...
The House Financial Services Committee approved legislation that would require family offices with assets above $750 million to file Form Ds with federal regulators. Offices ...
Banking giant Credit Suisse lost $5.5 billion on the collapse of Archegos Capital Management because “of a fundamental failure of management and controls” and in ...
The money may spur more whistleblower awards because the law requires the Commission to spend the money by Oct. 2022 or any of the remaining ...
"The SEC’s Divisions of Investment Management, Examinations, and Enforcement continue to focus on advisers to private funds. It is important to hold investment advisers accountable ...
"Several hedge funds lost significant money during these events. Though it doesn’t appear to have triggered broader market events, at least one fund had to ...
Her committee has moved to increase penalties for violations of the Investment Advisers Act; order the SEC to test the effectiveness of required disclosures issued ...
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