In the U.S., the Securities and Exchange Commission (SEC) has signaled a clear shift in focus and prioritization. Recent commentary from SEC Chair Gary Gensler indicates that the agency will likely push forward with an aggressive rulemaking agenda.
"The SEC’s Enforcement Division is the cop on the beat for America’s securities laws…As these results show, we go after misconduct wherever we find it in the financial system, holding individuals and companies accountable, without fear or favor, across the $100-plus trillion capital markets we oversee." - Chair Gary Gensler, 2021 Division of Enforcement Annual Report
The SEC finalized the much-debated climate disclosure rule citing the importance of providing investors with standardized and centrally located climate-related disclosures.
We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine what they mean for firms.
Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors
In the months since the release of the final rule, we continue to dig further into the practical implications of these required disclosures and the impacts on private fund managers’ current reporting structure.
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.
Join us for a special live Consultant's Corner webcast where we'll discuss what firms should know about the recent deficiencies uncovered in private fund manager examinations.
Our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.
Hear from ACA’s Carlo di Florio, Mike Pappacena, and Liam Jaris as they unpack the SEC’s proposed cyber rules and amendments and describe how they can affect private fund managers.