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.
May 31, 2022
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
The SEC has settled charges against a Missouri-based adviser over unsuitable investment recommendations of complex financial products.
September 22, 2021
New York City Bar Recommends SEC Framework for CCO Liability June 15, 2021 Following a report issued in February 2020 on how the SEC should consider potential liability for...
June 15, 2021
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...
March 05, 2021