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The weekly news source for investment management legal and compliance professionals

May 2, 2016

This Week's Issue

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FSOC Watching as SEC Develops Final Asset Management Rules

The tension between the Financial Stability Oversight Council and the SEC shows no sign of abating. In fact, it is likely to grow only more intense.
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SEC Links Two More Cherry-Picking Cases to Data-Driven Enforcement Initiative

The SEC is holding up two new cherry-picking enforcement actions as examples of its use and analysis of data. But whether the new cases were brought because of information uncovered by data analysis, or whether data analysis simply reinforced information that was already provided, remains something of an open question.
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Final Version of SEC Strategic Plan Lists Guidance for Private Fund Advisers

The SEC on April 22 issued the final version of its five-year strategic plan. The adopted version of the "Strategic Plan Fiscal Years 2014-2018" looks remarkably like the February 2014 draft version, with one of the few exceptions being the addition of providing guidance to private fund advisers.
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