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MFDF Webinar: “Unique Oversight Considerations for ETFs”
The Mutual Fund Directors Forum and Cohen & Company plan to host a webinar titled, “Unique Oversight …
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IM Director Birdthistle Delivers Remarks on Private Funds, Balancing Financial Regulation
The Securities and Exchange Commission’s Director of Investment Management, William Birdthistle, delivered …
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FSOC Overhauls SIFI Designation Process
The Financial Stability Oversight Council (FSOC) voted to overhaul the process to designate nonbank financial …
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Gensler Delivers Remarks on Securities Law Enforcement
Gary Gensler delivered remarks on the importance of attorneys, accountants, and compliance professionals …
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SEC Enforcement Director Delivers Remarks on Compliance Programs, Professionals
Gurbir Grewal the Director of the Division of Enforcement at the Securities and Exchange Commission …
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SEC 'Off-Channel' Communications Sweep Settlement Update
The Securities and Exchange Commission (SEC) announced settlements with 10 broker-dealers and affiliated …
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MFDF Webinar: ESG Data: Updates on an Evolving Regulatory and Product Landscape
The Mutual Fund Directors Forum and ACA Global will host a webinar entitled, “ESG Data: Updates on an …
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Event of Interest: Dechert to Host California Investment Management Symposia
Dechert plans to host the firm’s California Investment Management Symposia which will highlight the intersection …
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MFDF Webinar: “Navigating the Recent SEC Rulemakings: Money Market Fund Reforms”
The Mutual Fund Directors Forum and Dechert plan to host a webinar entitled, “Navigating the Recent SEC …
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Event of Interest: K&L Gates to Host Generative AI Webinar
The program will focus on the legal and ethical risks, mitigation, and best practices to consider across …
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FDIC’s Gruenberg Delivers Remarks on Large Regional Bank Stability Risks
FDIC Chairman Martin Gruenberg noted that “while regional banks may not be as large, complex, and internationally …
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PCAOB Proposes Rule Covering Audit Standards in Circumstances of Noncompliance
The proposal, entitled “Amendments to PCAOB Auditing Standards related to a Company’s Noncompliance with …
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President Biden Signs Executive Order on U.S. Investment in China
President Joseph Biden issued the “Executive Order on Addressing United States Investments in Certain …
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SEC Announces Charges Against Broker-Dealer Firms for Recordkeeping Failures
The Securities and Exchange Commission (SEC) Division of Enforcement announced charges against 11 …
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Gensler Delivers Remarks on Climate-Risk Disclosure, LIBOR at FSOC Meeting
At a recent meeting of the Financial Stability Oversight Council (FSOC), Securities and Exchange Commission …
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Gensler Delivers Remarks at IAC Meeting on Single Stock ETFs
Chair Gary Gensler briefly touched on the rise in popularity of single-stock ETFs, including inverse …
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Gensler Delivers Remarks on Market Structure, Asset Management at ICI Washington DC Conference
His remarks, entitled “Bear in the Woods,” touched on investment and liquidity risks posed by certain …
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SEC Division of Investment Management Hosts Conference on Emerging Trends in Asset Management
The SEC’s Division of Investment Management held an inaugural program titled, “Conference on Emerging …
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SEC Issues LIBOR-Transition Related Risk Alert
Recently, the Securities and Exchange Commission released a Risk Alert highlighting observations from …
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SEC Chair Gensler Delivers Remarks on Financial Market Risk, Resilience
SEC Chair Gary Gensler delivered remarks entitled “Lessons from Mrs. O’Leary’s Cow” which focused on …