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In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month...
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month,...
Who may be interested: Registered Investment Advisers, Mutual Funds, Compliance Officers - Quick Take: The SEC settled charges against two affiliated registered...
While Gensler has already confirmed his focus on SPACs, ESG and cryptocurrency, he has been coy regarding private funds.
Gensler's focus on private funds was uncertain until now. This week he testified before subcommittee to U.S. House Appropriations Committee, that he has sought staff recommendations for increased private fund reporting and disclosure through Form ADV, Form PF, and other enhancements.