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Event of Interest: Dechert Hosts Webinar Covering Names Rule Amendments
Dechert Partners will cover emerging issues and interpretive questions under the amended Names Rule.
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ACA Highlights 8 Steps CCOs Should Take to Prepare for AI Regulation
These steps include taking an inventory of the firm’s current AI use, assessing the risk, implementing …
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Event of Interest: K&L Gates to Host Webinar on AI Regulatory, Compliance Issues for Asset Mangers
Panelists will discuss the future of SEC regulation of AI and predictive data analytics, congressional …
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SEC Settles Charges with 16 Firms for Recordkeeping Failures
On February 9, the Securities and Exchange Commission (SEC) announced the latest round of settlements …
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MFDF Webinar: Potential Hurdles of Investment in China and other Emerging Markets
Ama A. Adams, Managing Partner at the Ropes & Gray Washington, DC office and Paulita A. Pike, Managing …
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Join the Mutual Fund Directors Forum in Washington DC March 7-8 for the Fund Governance and Regulatory Insights Conference
The conference will allow fund directors, CCOs, and industry colleagues to engage with key topics and …
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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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SEC3 Outlines Questions to Consider for SEC Exam Preparedness
SEC Compliance Consultants (SEC3) recently published a tipsheet for SEC Exam Preparedness that covers …
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MFDF Webinar: SEC Division of Examinations Staff Panel – Investment Company Issues and Considerations for Fund Boards
Tomorrow, June 8 the SEC Division of Examinations staff will discuss topical issues related to investment …
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SEC Charges Trustees, Adviser with Liquidity Rule Violations
The Securities and Exchange Commission announced charges against Pinnacle Advisors LLC for “aiding and …
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Event of Interest: Dechert to Host Compliance and Regulatory Priorities Webinar
The webinar will focus on updates for compliance and legal professionals, but plans to cover recent and …
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MFDF Webinar Tomorrow: What to Expect When the SEC Calls
Willkie Farr & Gallagher partners will discuss what fund boards should know about the SEC’s examination …
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U.S. and Chinese Regulators Reach Agreement on Oversight of Audit Firms Based in China
After months of negotiations, the PCAOB, the China Securities Regulatory Commission, and the Ministry …
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Event of Interest: Morgan Lewis, SEC Historical Society Program on the Evolution of the Division of Examinations
Morgan Lewis and the SEC Historical Society plan to hold an event titled “From OCIE to the Division of …
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Considerations for Fund Boards that Oversee ESG Products
Gwen Williamson, Partner at Perkins Coie in Washington, DC, sets forth a series of questions directors …
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Harvard Law Blog Post Details Concerns Surrounding ESG Data
In recent years, the demand for ESG data has exploded, including demand from investors, companies, and …
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SEC Releases Draft Strategic Plan for FY22-26
The SEC published a draft Strategic Plan spanning FY2022-2026 that establishes three primary goals for …
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House Financial Services Subcommittee Hears Testimony from SEC Enforcement Director
The SEC's Director for the Division of Enforcement, Gurbir Grewal, testified before a House Financial …
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Birdthistle Speaks on SEC’s Regulatory Agenda, Priorities at PLI Conference
The SEC’s Director of the Division of Investment Management, William Birdthistle, delivered prepared …
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Gensler Delivers Remarks on 20th Anniversary of Sarbanes-Oxley
SEC Chair Gary Gensler delivered remarks before the Center for Audit Quality program “Sarbanes-Oxley …