This content is from: Culture SEC Fines Ares for Compliance Failures Tied to Portfolio Company The private equity firm should have done more surrounding compliance inquiries into material nonpublic information, according to the SEC. By Christine Idzelis May 27, 2020
This content is from: Culture ISS Files Lawsuit Against SEC Over Proxy Voting Rules The proxy advisory firm does not want to be lumped in with firms that solicit votes. By Alicia McElhaney October 31, 2019
This content is from: Portfolio The SEC Thinks Its New Rules Would Improve Proxy Voting. CalSTRS’ Chris Ailman Thinks They Would Create the Next Enron. The head of one of the largest American pension plans issued a strong rebuke to the SEC’s proposal to regulate proxy advisory firms. By Amanda Cantrell November 10, 2019
This content is from: Corner Office Hedge Fund Industry Divided on Advertising Rule Changes The Hedge Fund Association andthe Managed Funds Association disagree on proposed changes to the SEC’s rules on certain issuers advertising, but have found common ground on one area. By Alicia McElhaney September 26, 2019
This content is from: Corner Office They’re the Biggest Investors in Private Equity. Now They’re Asking the SEC to Step In. The Institutional Limited Partners Association, along with 35 of its member institutions, have penned a letter to the SEC demanding stronger oversight of one of their favorite asset classes. By Alicia McElhaney February 12, 2019
Sponsored Seeing the Market More Clearly While regulations like MiFID II require greater transparency and accountability in trading, the market has been moving in that direction all along, and recent innovations in technology have gotten it there. Sponsored by Clearpool Group June 13, 2018
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