In remarks looking toward her upcoming departure from the SEC, Commissioner Peirce spoke of why US capital markets inspire people globally to raise money and invest in the US.
SEC Form PF
Firms, however, must maintain strict adherence to existing requirements until these changes are officially adopted.
A joint proposal signals a shift from maximal data collection toward a more selective model of systemic risk monitoring.
The agency is entering an era of “simpler rules but stricter focus," a panelist told the audience at this year's NSCP annual meeting.
The decision came despite “grave concerns” from outgoing CFTC Commissioner Kristin N. Johnson.
Time to adapt your compliance frameworks to address regulatory challenges.
Amendments to Form PF oblige advisers to private funds to give the SEC and FSOC more reporting details.
The SEC charges five investment adviser firms for failing to meet requirements related to the safekeeping of client assets.