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Apr 21, 2017
Fiduciary Rule Delayed Another 60 Days, Implementation Pushed to June
Mar 13, 2017
DOL Proposes Delay of Fiduciary Rule Implementation to Conduct Review
Mar 10, 2017
Interest in ESG Issues Continues to Increase
Mar 10, 2017
New Survey Finds Investment Advisory Firm Outlook Positive Despite Areas of Concern
Mar 1, 2017
SEC Roundup: Feb. 24, 2017
Mar 1, 2017
2017 ACG Public Policy Summit Draws Record Attendees
Mar 1, 2017
ACG Releases Regulatory and Compliance Principles for Mid-size Private Equity Firms
Feb 17, 2017
Trump Administration Kicks off Financial Deregulation with Executive Actions
Jan 27, 2017
SEC Roundup: Jan. 27, 2017
Jan 27, 2017
SEC and CFTC Rules in Question As Trump Administration Takes Office
Jan 26, 2017
SEC Exam Priorities for 2017 Released
Jan 4, 2017
Financial Regulatory Agency Leadership Changes Announced
Dec 13, 2016
Several SEC Division Chiefs Announce Plans to Leave SEC Before Year End
Dec 13, 2016
U.S. Chamber of Commerce Pushes for Incoming Administration to Repeal DOL Fiduciary Rule
Nov 18, 2016
SEC Staff Outline Priorities and Challenges for Compliance Audience at NSCP
Nov 18, 2016
Fate of Fiduciary Rule Uncertain; DOL Releases First Related FAQ
Nov 17, 2016
SEC Chair To Step Down in January
Oct 14, 2016
SEC Adopts Rule Changes to Enhance Registered Investment Company Reporting
Oct 14, 2016
SEC FY2016 Enforcement Statistics Hit New Single Year High
Sep 12, 2016
Bill Rolling Back Private Equity Reporting Requirements Passes House
Sep 9, 2016
IAA Assesses the Regulatory Landscape for Advisers
Sep 9, 2016
Impact of Pay-to-Play Rules in the 2016 Election Cycle
Sep 8, 2016
When SEC Comes Knocking: Strategies for Defending Against an Investigation
Sep 2, 2016
Bill to Modernize PE Compliance Gets Strong Bipartisan Vote
Aug 26, 2016
IAA Survey Shows Growing Number Registered Investment Advisers
Aug 25, 2016
Apollo Pays $52.7M to Settle Charges Related to Fee Disclosure and Supervisory Failures
Aug 19, 2016
State Street Bank Reaches $382M Settlement with Regulators Over Forex Practices
Aug 18, 2016
News Briefs: Week of Aug. 15, 2016
Aug 17, 2016
When SEC Comes Knocking: Strategies for Handling an Inspection
Aug 16, 2016
OCIE Names New Co-Head of National Investment Adviser/Investment Company Exam Program
Aug 15, 2016
SEC Proposes First Ever Order Handling Disclosure Rule for Broker-Dealers
Jul 22, 2016
Agencies Propose Changes to Form 5500 Report
Jul 22, 2016
SEC Proposes Business Continuity and Transition Plan Requirement for Registered Investment Advisers
Jul 21, 2016
OCIE Focuses Initiative on Conflicts of Interest Tied to Certain Mutual Fund, 529 Plan Share Classes
Jul 20, 2016
SEC Rolls Out New Administrative Proceeding Rules of Practice
Jul 18, 2016
News Briefs: Week of July 18, 2016
Jun 27, 2016
Cybersecurity, Privacy Top Compliance Issue Concerns for Investment Advisers, New Survey Finds
Jun 24, 2016
Financial Stability Board Releases Policy Recommendations for Public Comment
Jun 20, 2016
Hedge Fund Managers, Government Official Charged with $32 Million Insider Trading Scheme by SEC
Jun 10, 2016
Morgan Stanley Settles Data Security Issue for $1 Million
May 27, 2016
ICI Tweaks Recommendations on Fund Liquidity Risk Management
May 26, 2016
SEC Updates Guidance on 2014 Money Market Fund Reforms
May 6, 2016
Invesco Agrees to Pay Investors $10.3 Million for Undisclosed Fund Losses
May 4, 2016
Dismissal of Excessive Fee Claims In Tibble Again Affirmed by 9th Circuit
Apr 28, 2016
IMF Calls for Greater International Tax Cooperation
Apr 28, 2016
Changing Market Conditions’ Impact on Fund Disclosure — SEC Issues Guidance
Apr 18, 2016
Settlement in Dudenhoeffer Case Allots $6M to Class Members
Apr 18, 2016
SEC Creates ‘Office of Risk and Strategy’ to Support Adviser Exam Program
Apr 6, 2016
DOL Unveils Final Rule Setting Fiduciary Standards for Giving Investment Advice
Apr 1, 2016
‘Third-party Examiner’ Rumor, OCIE Changes Among Hot Topics at Summit

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