SEC

Some of the most notable enforcement cases of the year show the SEC isn’t just looking to levy fines in instances where investors are caused harm, but anywhere it thinks there are insufficient systems to prevent investor harm.

The regulator gave the private funds industry its ‘playbook’, and now expects funds to execute. This year’s enforcement actions shows the SEC is taking a proactive approach to oversight.

Private equity remains firmly in regulators’ sights, despite marked improvements in transparency.

A 'framework' approach, summa of chairman Jay Clayton's SEC career, comes over Democratic objections.

Amendments to the SEC’s auditor independence rule make it easier for firms and their auditors to manage their relationships without violating SEC compliance.

In the magazine: Why the SEC is looking at you; Pandemic, leverage and the secondaries market; How to move staff on without the pain; Plus much more…

Fund of funds arrangements, derivatives, fund valuation, advertising and solicitation are all on the agenda.

It's been a chore to lure accountants in throughout this year of the pandemic.

For large asset managers, the attraction of retail investors could mean an expanded wealth management bench. Others aren’t so sure.

The SEC’s Asset Management Advisory Committee is considering possible recommendations on ESG investments, including a regime of strong intervention in the market to ensure investments are living up to their claims.