Compliance & Regulation

Piles of one hundred US dollar bills
Capital markets subcommittee said 'overly burdensome' regulations are limiting IPOs and capital formation.
Capital markets subcommittee looks to amend 'senseless regulations' that limit investors in private markets.
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
Both Republicans and Democrats took the Commission's chairman to task on many SEC initiatives.
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
Regulator settled with the accused over allegedly mishandled audits of investment valuations.
Extracted performance and attributions causing confusion for PE managers despite the Commission’s recent guidance.
'Compliance and marketing teams are in a challenging spot...'
An image showing an SEC illustration
Group largely backs two proposed items in SEC rule, but with compromise on legal liability.
The SEC is ready to resume in-person examinations for the first time since the covid pandemic began, and it's "not a good thing," as one lawyer put it.
The Securities and Exchange Commission's headquarters
GPs’ costs would rise due to more assets falling under qualified custodians mandate.
The new structure aims to make Jersey a more attractive offshore jurisdiction.
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