SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
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SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
SEC Compliance Outreach Program Scheduled for November 15
The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.
September 22, 2022
Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon
Federal agencies issue Spring 2022 Reg Flex agendas; Custody Rule expected in near term, FTC premerger notification rule and anti-money laundering for advisers on the agenda.
June 27, 2022
SEC Responds to Commenter Requests, Extends and Reopens Deadlines
Following advocacy from the IAA and others, the SEC has extended comment period for ESG proposal and re-opened comment period for private fund adviser proposal.
May 11, 2022
Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More
Federal agencies have released updates to their regulatory agendas, which include several important new potential regulations for investment advisers, most notably regarding anti-money laundering, cybersecurity, and private fund advisers.
December 15, 2021
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds
The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda and introduced two new agenda items for 2021.
April 02, 2021