Bill Myers
‘Quality controls and audit standards are necessary to maintaining this essential gatekeeping role,’ SEC says in fifth ‘gatekeeper’ case in two years.
The notice puts the industry on the clock.
Bill requires all large companies to track and report Scope 1, 2 and 3 emissions
'The clock is still ticking'
SEC enforcements pick up before end of fiscal year.
Regulators are focused on prior deficiencies, discipline, leadership changes and ‘market stresses.'
With two major rule packages pending, SEC presses firms on how they are managing cyber-risks.
On accelerated monitoring fees and indemnities, regulators discover they’ve had the power all along – bad news for those who would have challenged the relevant initial proposals from the SEC in court.
The commission's new rules are softer than the original proposal, but still impose rigid disclosures on exempt advisers.
SEC to finalize private funds rule Wednesday, pivotal months loom for industry.