Home Regulation

regulation

SEC to focus on retail investors in 2018 – Proskauer

The US regulator’s spotlight on ‘Main Street investors’ means private funds enforcement will focus on retail investors with access to non-public investments, according to the law firm.

SEC to ratchet up scrutiny of fees and expenses

The agency will start spending less time on new financial regulations, according to its chairman, Jay Clayton.

Private fund managers still digesting US tax reform

The House bill includes a proposal to limit interest deductibility, and measures that will increase personal taxes paid by fund managers.

Jerome Powell: PE’s man in Washington?

An industry veteran who has signaled he's willing to re-examine the Volcker Rule to make it more efficient, is the new head of the world’s most powerful central bank.

Exclude PE from Volcker Rule, urges ABA chief

Banks should only be prohibited from engaging in stand-alone, proprietary trading, according to the American Bankers Association.
Credit: AgnosticPreachersKid/Wikimedia Commons

SEC to crack down on misleading marketing materials

The regulator issued a risk alert after finding consistent shortcomings in the way performance is advertised.

GPs clear up transparency issues

Just over half of LPs have experienced greater transparency from fund managers since 2015, a new report claims.

Why the SEC is probing secondaries…again

A few issues could give the commission cause for concern in what appear to be relatively vanilla transactions.

SEC scrutinises GPs’ role in stake sales

The US regulator is getting to grips with potential conflicts of interest in plain vanilla deals.

Consultation could be beginning of the end for Volcker

The OCC’s investigation could be the first step in dismantling the regulation that restricts a bank’s ability to invest in private equity.