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Congressional Activity

"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 ...
If confirmed, Bowes could serve until 2025
Her focus at the SEC has included investment management and she represented investment advisers as a private practice attorney
If certain rules are followed, the loan turns into a grant
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