SEC Official States Compliance Examinations of Registered Advisers to Private Equity Funds Will Consider Conflicts of Interest and Offers Guidance on Use of Expert Networks
SEC Adopts Proposed Rules on Incentive-based Compensation for Large Broker-Dealers and Investment Advisors
SEC and CFTC Propose Rules Regarding Reporting by Registered Investment Advisers to Hedge Funds and Private Equity Funds
SEC Staff Study on Investor Access to Registration Information About Investment Advisers and Broker-Dealers
SEC Staff to Congress: Brokers Should be Subject to a Uniform Fiduciary Standard
GAO Report: Regulation of Financial Planners is Adequate
SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
Thus, the staff believes that the SEC likely will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisers with adequate frequency.
Continue Reading SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
FSOC Issues Notice of Proposed Rulemaking Regarding Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies