The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
SEC Exams Director Driscoll Addresses Newly Announced 2021 Exam Priorities at IAA Compliance Conference Updated March 5, 2021 Peter Driscoll,SEC Examinations Director One day after the SEC Division of...
CCO Outreach Highlights SEC Expectations of Advisers’ Compliance Programs and Due Diligence in Pandemic Conditions Staff Focuses on Conflicts, Private Funds, CCO Empowerment November 24, 2020 Senior staff from...
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