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Federal Agencies Release Spring 2021 Regulatory Agendas

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June 16, 2021

Keywords: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: Business Ops/HR, CFTC, Compliance, Custody, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms

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May 25, 2021

Keywords: Accredited Investor, Allison Herren Lee, Climate, ESG, Private Offerings

Categories & Topics: Business Ops/HR, Compliance, ESG, FinTech & Digital, Industry-Level, Private Funds

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

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January 13, 2021

Keywords: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Private Funds, Proxy Voting, Reporting, Senior Client Matters

SEC Broadens Accredited Investor and Qualified Institutional Buyer Definitions

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August 26, 2020

Keywords: Accredited Investor, QIB

Categories & Topics: Business Ops/HR, Private Funds

IAA Urges SEC to Expand, Simplify Access to Exempt Offerings

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June 03, 2020

Keywords: Accredited Investor, Exempt Offerings, Private Offerings, QIB

Categories & Topics: Business Ops/HR, Private Funds

IAA to SEC: Expand Accredited Investor, QIB Definitions to Include Discretionary Clients of SEC-Registered Advisers

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March 23, 2020

Keywords: Accredited Investor, QIB

Categories & Topics: Business Ops/HR, Private Funds

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