Commentary by Steven Lofchie
The SEC Office of Compliance Inspections and Examinations urged investment advisers to evaluate their fee and expense policies and procedures in order to meet compliance obligations.
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21956 News Results
Commentary by Steven Lofchie
SEC Commissioners Michael S. Piwowar and Hester M. Peirce disagreed with an SEC staff recommendation not to increase the Tier 2 offering limit set under Regulation A.
The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to a commodity pool operator from the requirement to deliver to pool participants periodic account statements and an annual report prepared pursuant to U.S. Generally Accepted Accounting Principles.
The Board of Governors of the Federal Reserve System is seeking comments on proposed rules to simplify the requirements for large banks subject to capital plan rule.
The Office of the Comptroller of the Currency and the Board of Governors of the Federal Reserve System are seeking comments on a proposed rule to amend the enhanced supplemental leverage ratio standards.