Rulemaking

Backers say the measure will help the U.S. clean up its markets, making it harder for foreign oligarchs and other criminals to hide their money ...

A decades-old appellate case, seemingly buried by the Great Recession, has come back to haunt the SEC’s quest for private fund reforms. In 2006, a ...

Case puts a ceiling on regulators' private fund ambitions, but managers may still see the compliance floor rise

This is the Department of Labor's 2024 final rule redefining a fiduciary under ERISA

These changes would establish governance and fitness requirements with respect to market regulation functions, as well as related conflict of interest standards, requirements relating to ...

You may be tempted to note February as the month of FinCEN when it comes to new regulations potentially affecting your firm. The latest proposal ...

This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions

These reports are expected to assist the Treasury, Federal, State, and local law enforcement and national security agencies in addressing illicit finance vulnerabilities in the ...

This is FinCEN's proposed rule to require investment advisers to file SARs

This is FinCen's proposed AML rule for investment advisers