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NSCP Annual: SEC sets out its next act
The agency is entering an era of “simpler rules but stricter focus,” a panelist told the audience at this year’s NSCP annual meeting.
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SEC and CFTC extend Form PF compliance dates again
The decision came despite “grave concerns” from outgoing CFTC Commissioner Kristin N. Johnson.
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Private funds don’t need to re-invent the wheel to adapt to harmonization
Time to adapt your compliance frameworks to address regulatory challenges.
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SEC adopts final amendments to Form PF, expanding disclosure obligations
Amendments to Form PF oblige advisers to private funds to give the SEC and FSOC more reporting details.
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SEC charges five investment advisers for custody rule violations
The SEC charges five investment adviser firms for failing to meet requirements related to the safekeeping of client assets.
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Private equity firm fined $20.5m by SEC for disclosure failures
The SEC charged the private equity firm for failing to adequately disclose millions of dollars of real estate brokerage fees that were paid to a real estate brokerage firm owned by its CEO.
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SEC overhauls private fund rules to enhance transparency, control fees
The US securities regulator on Wednesday approved sweeping new rules aimed at overhauling the way private funds interact with their investors.
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SEC votes to amend money-market fund and BD customer protection rules
Regulator moves to increase resilience of money-market funds, but there are dissenting voices.