Tag: Gary Gensler
SEC Calls for Additional Private Fund Reporting and Information
The SEC proposed substantial changes to Form PF that would require private fund managers to report certain events within one day and private equity fund managers to provide additional information.
January 27, 2022
Tags: Form PF, Gary Gensler, Hedge Funds, Hester Peirce, Private Equity, Private Funds, SEC
SEC Eyes Securities Lending Reporting; IAA, Others Objected to Comment Deadline
Describing current securities lending market as “opaque,” with “information asymmetries [that create] inefficiencies,” SEC Chair Gary Gensler has shepherded through a proposal intended to increase transparency and efficiency in securities lending.
December 21, 2021
Tags: Gary Gensler, Trading
SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance
The SEC is proposing substantial amendments to its controversial 2020 proxy advisory firm rules. And it's seeking comment on its equally controversial guidance for investment advisers on proxy voting, asking whether that guidance should be rescinded, revised, or clarified. This comes after SEC Chair Gary Gensler’s directed staff to consider whether the rules warranted further action and Corp Fin announced it would not recommend enforcement action while the rules were under review.
November 22, 2021
Tags: Elad Roisman, Gary Gensler, Hester Perice, Proxy
SEC Eyes Reporting of Securities Lending; IAA, Others Object to Comment Deadline
SEC Chair Gary Gensler has shepherded through another 30-day proposal, one intended to increase transparency in securities lending. The IAA and other financial services trade associations are asking for a more conventional 90-day comment period.
November 24, 2021
Tags: Gary Gensler, Trading
Gensler Gets Tough on Enforcement Cases, Focuses on “High Impact” Cases
Getting tougher on enforcement, SEC Chair Gary Gensler has outlined principles for the Enforcement Division to consider when reviewing misconduct.
November 22, 2021
Gensler Says SEC Considering New Rulemakings for Private Fund Advisers
SEC Chair Gary Gensler is focusing on private fund managers and is looking at rulemaking in five areas affecting them – including fee arrangements.
November 22, 2021
Tags: Conflicts of Interest, Gary Gensler, Private Equity, Private Funds
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
Tags: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr
SEC Considers Potential Rulemaking on Complex Exchange-Traded Products
SEC staff is reviewing the potential risks of complex exchange-traded products and will present rulemaking proposals to address those risks.
October 06, 2021
Tags: Allison Herren Lee, Caroline Crenshaw, ETFs, Gary Gensler
SEC Chair Gensler Takes Aim at Potential Alternative Rate to LIBOR
SEC Chair Gary Gensler singled out his preference for the Secured Overnight Financing Rate (SOFR) as the alternative reference rate to LIBOR.
October 05, 2021
Tags: Gary Gensler, Libor
All Eyes on ESG – Plus Tips for Implementing an ESG Program
All Eyes on ESG – Plus Tips for Implementing an ESG Program April 5, 2021 It seems that everyone is focused on ESG investing these days – investors, the...
April 05, 2021
Tags: Allison Herren Lee, Climate, ESG, EU, Gary Gensler
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