The United States Securities and Exchange Commission’s Division of Examinations announced its examination priorities for fiscal year 2024 on October 16, 2023. The timing of the announcement is significant because it is the...more
10/24/2023
/ Broker-Dealer ,
Clearing Agencies ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Investigations ,
Investment Adviser ,
Investment Companies ,
Investors ,
Mutual Funds ,
REIT ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Self-Regulatory Organizations ,
Transparency
The United States Securities and Exchange Commission recently adopted sweeping changes to the regulatory regime that governs private investment funds – hedge funds and private equity funds. The Aug. 23, 2023, changes are the...more
A unanimous decision by the U.S. Supreme Court on April 14, 2023, is likely to have far-reaching implications for government agency tribunals. In consolidated cases involving constitutional challenges to two separate...more