Regulators

Rulemaking-by-enforcement may be coming to private funds

The SEC is scheduled to publish proposed new rules on ESG metrics any day now, but neither registered investment advisers nor private fund advisers must ...

Greater scrutiny emerges of asset managers' net-zero commitments as the conference agenda moves to finance.

SEC examiners are focusing on private funds’ compliance with the custody rule, and outside auditors may not be helping, a compliance expert cautions. “We’re seeing, ...

Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...

The notorious GameStop raid that knocked world markets on their haunches was just what it appeared to have been: a bunch of self-described “degenerates” having ...

Nearly half of private fund advisers are trying to sub-contract their way out of their fiduciary duties, a trade association for pension and foundation managers ...

SEC Commissioner Allison Herren Lee has endorsed calls for the Commission to change the definition of “shareholder of record” for exempt private funds. “Time and ...

Dem Commissioner endorses redefinition of "shareholder of record"

From the fine folks at Iron Road Partners (and former SEC examiner Igor Rozenblit) comes these tips on how to handle examinations.