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

Keywords: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Highlights from the SEC’s Outreach Program for Advisers and Funds

Summary of the SEC’s 2022 Investment Adviser/Investment Company National Seminar: Compliance Outreach Program.

November 17, 2022

Keywords: SEC Enforcement, SEC Examinations, SEC Investment Management, SEC Outreach

Categories & Topics: Advertising, Compliance, Compliance Programs, Examinations

IAA and Other Trade Associations Urge SEC and CFTC to Extend Comment Deadline for Second Form PF Proposal

The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.

September 20, 2022

Keywords: CFTC, Form PF, Hedge Funds, Private Equity, Private Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Private Funds

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

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June 27, 2022

Keywords: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management