SEC

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

Whatever happens to the SEC rules, the trade group hopes the industry can unite to raise the floor on transparency.

'Scary' case should worry small- and midsized managers, expert says.

Frustration is building among CFOs as they attempt to navigate the new marketing rules with limited guidance from the SEC.

‘Each part of the rule is unnecessary, unworkable, and unduly burdensome,’ lawyers say in opening brief.

‘Quality controls and audit standards are necessary to maintaining this essential gatekeeping role,’ SEC says in fifth ‘gatekeeper’ case in two years.

The notice puts the industry on the clock.

'The clock is still ticking'

SEC enforcements pick up before end of fiscal year.

Regulators are focused on prior deficiencies, discipline, leadership changes and ‘market stresses.'