"The proposal’s broad sweep could mean that firms would spend inordinate amounts of resources to identify all covered technologies, evaluate and test those technologies to ...
"There’s also those cases that will garner the attention of lawyers, compliance officers, and the like, far beyond this room—and yes, often get reported by ...
"It is unsurprising that many compliance professionals feel a sense of trepidation as to how the Commission will exercise its enforcement authority. Left with only ...
"Shadow banks function by intermediating between borrowers and investors in capital markets, but they had structured themselves in ways that allowed them to evade many ...
"Today’s adoption is about reducing overall information asymmetries in the market, promoting transparency, allowing better-informed decision-making by investors, and improving liquidity, by shortening the filing ...
"My concerns extend also to the 13G changes, which would shorten filing timelines for large investors with no control intent.[19] Shortening filing deadlines for investors who ...