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Financial Regulatory Reform › Risk Management › Investment Adviser

Proskauer - Regulatory & Compliance

SEC Formally Withdraws Fourteen Rule Proposals

Proskauer - Regulatory & Compliance on

On June 12, 2025 the Securities and Exchange Commission (“SEC”) formally withdrew fourteen outstanding rule proposals issued by the prior administration. Although most observers doubted that the current Commission would adopt...more

K&L Gates LLP

Australia: Compensation Scheme of Last Resort (CSLR)

K&L Gates LLP on

Underfunded From Inception - The operator of CSLR has released the latest actuarial report commissioned on the scheme and the initial estimates of projected levies for 2025 / 26 (3rd levy period), triggering widespread...more

McNees Wallace & Nurick LLC

Navigating Regulatory Risks: Leveraged and Inverse ETFs Targeted by Pennsylvania Department of Banking and Securities 

McNees Wallace & Nurick LLC on

The Pennsylvania Department of Banking and Securities (Department) has recently targeted registered investment advisers who utilize leveraged and inverse exchange traded funds (ETFs). Advisers should be aware of the...more

Mayer Brown

Interview with Jason Cave, Former Regulator Turned Industry Adviser

Mayer Brown on

Matt Bisanz interviews former financial regulator Jason Cave to discuss developments in resolution and recovery planning, as well as trends in third-party risk management....more

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