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Regulation

Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
A recent settlement likely means the SEC is already investigating the private funds sector for compliance breaches related to electronic messaging.
Compliance
Proposed rules from the SEC impose significant new regulatory burdens on registered investment advisers and funds, according to Debevoise & Plimpton partners Charu Chandrasekhar and Kristin Snyder
Regulation, technology and shifting investor demands are changing what GPs require of fund service providers
Shield illustration
Private markets regulation is proliferating at speed and service providers need to keep pace
'Healthcare markets are a key site' in battle to reshape American society, top trustbuster says.
Nonbinding vote another signpost on Gary Gensler’s long and fraught road to reform
Credit risk transfers and credit guaranties are on the menu for banks facing capital and limits headwinds.
‘Every manager has to go through an analysis of their structure,’ attorney warns,
Olibia Stamatoglou discusses how her firm is navigating rising regulatory pressures in an exclusive video interview, from Private Funds CFO’s New York Forum.
Magnifying glass on charts graphs paper. Financial development, Banking Account, Statistics, Investment Analytic research data economy.
An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations.
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