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 and CFTC Propose Rules Regarding Reporting by Registered Investment Advisers to Hedge Funds and Private Equity Funds
SEC Proposes Rules Regarding Accredited Investors
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 Releases Study on Volcker Rule
Federal Reserve Sets Course for Rulemaking
Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?
CFTC to Address End User Exception December 9
