Home SEC: Regulators

SEC: Regulators

SEC to be remote through Jan. 3, sources say
States want beneficial owners on Form D
Fund bilked employees, regulators say
Last domino in Sentinel scheme falls
'A regulator who always says "no" is not serving investors well,' Peirce says.
'A lot of fees and potential conflicts inherent,' Chairman says
Case another example in importance of delegating compliance authority
Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.
Unproven theory may make firms hostage to P&Ps, side deals
Knowledge dissolves in information

Copyright PEI Media

Not for publication, email or dissemination