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Rulemaking

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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 ...
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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 ...
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This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions
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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 ...
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This is FinCEN's proposed rule to require investment advisers to file SARs
Three trade groups representing private fund managers have sued to block a pair of “arbitrary and capricious” SEC rules designed to bring more sunlight into ...
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“It will go to court, undoubtedly,” forecasts one observer. “I think it could go all the way to the Supreme Court” if the Biden Administration ...
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While the Labor Department’s latest crack at establishing a new ERISA fiduciary duty definition grabs the headlines, the agency also moved to revise several prohibited ...
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The DOL states its proposed definition of a fiduciary under ERISA is "generally consistent with the best interest obligations set forth in the” SEC’s 2019 ...
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