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SEC director William Hinman will be fielding questions at next week’s conference; MJ Hudson releases a comprehensive ‘guide to secondaries’.
Paris-based manager Eurazeo breaks new ESG ground; Finra to take an unusual step.
Attorneys general from seven states and Washington, DC claim the Commission bypassed congressional intent in approving Reg Best Interest.
Blue Wolf hires new COO; SEC examinations department comes out with its priorities for 2020
The agency's new report provides 'hallmarks' of effective compliance programs detected by the agency over the years.
LPs hate fees (even more than last year); 2020: an election year with a lot of regulatory initiatives.
'I think it’s going to be a big year for advisor regulations.'
Budget enabling SEC enforcement of Regulation BI and amended 'accredited investor' definition spell boost for private funds.
The US House's $1.4trn budget gives free rein to SEC chairman Jay Clayton to pursue Reg BI, but it forbids corporate spending disclosure rules.
The proposal would keep the current financial tests for establishing who is an accredited investor but would add new categories.