The SEC is inviting public comment on new regulations including a ban on charging certain fees to a private fund or its portfolio investments
A collaborative approach with realistic timelines would help reduce strain on firms
Report casts doubt on regulator’s independence
Two of the entities operated as an exchange without regulatory approval, while the third had quarterly report inaccuracies
The individual was worried that his testimony to the regulator could be used by U.S. authorities
An OSC Dialogue panellist highlighted the need for investor coaching
The gross market values for the contracts were down across the board in 2021
“Platform” legislation would grant the OSC broader rule-making power
Systemic risk to the industry remains, as crisis response measures have created vulnerabilities
Total cost reporting for seg funds as well as title regulation are on the docket for fiscal 2022–23