PLI's inSecurities Podcast - Commissioner Jaime Lizárraga’s Core Values
Investor Protection for ESG Investing and Complex Products
On 21 May 2025 the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht - BaFin) has launched a consultation (GZ: WA 35-Wp 5427/00001#00554; available here (in German only)) prior to...more
In 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed numerous new and amended rules (“proposals”) that would apply to SEC-registered investment advisers (“Registered Advisers”), including private fund...more
On February 9, 2022, the US Securities and Exchange Commission (the “SEC”) voted to propose a suite of new rules and amendments (the “Proposal”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). If...more
On February 9, the SEC proposed new cybersecurity risk management regulations for investment advisers, registered investment companies (funds), and business development companies....more
On March 4, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to the current framework of registration exemptions and safe harbors. ...more
The upcoming Securities and Exchange Commission open meeting for December 18, 2019 will now address additional rulemaking....more
The SEC voted to propose a rule designed to enhance the regulation of the use of derivatives by registered investment companies, including closed-end funds, as well as mutual funds, ETFs and business development companies....more