The incoming Trump administration will bring significant changes to regulatory policy as it relates to the asset management industry, and private funds, in particular...more
11/14/2024
/ AML/CFT ,
Anti-Money Laundering ,
Asset Management ,
CFTC ,
Cryptocurrency ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Investors ,
IRS ,
Policies and Procedures ,
Private Funds ,
Proposed Rules ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities ,
Securities and Exchange Commission (SEC) ,
Tax Cuts and Jobs Act
On March 3, 2021, the SEC’s Division of Examinations (“Division” or “EXAMS”) published its annual Examination Priorities Report, which identified eight primary areas of focus for Fiscal Year 2021. While many of these...more
4/1/2021
/ Anti-Money Laundering ,
Broker-Dealer ,
Coronavirus/COVID-19 ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
FinTech ,
Fraud ,
Information Security ,
Investment Adviser ,
Libor ,
Market Infrastructure ,
Regulation Best Interest ,
Retail Investors ,
Securities and Exchange Commission (SEC)