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What Investment Advisers and Fund Managers can Expect from SEC

Thursday, March 11, 2021
As we discussed in our recent post “What to Expect from the SEC Under the Biden Administration,” market participants can expect a more vigorous SEC enforcement program under the new administration. President Biden’s nominee to chair the SEC, Gary Gensler, was known as a tough enforcer while serving as chairman of the CFTC during the financial crisis. If confirmed as SEC Chairman by the Senate, Mr. Gensler is sure to bring an assertive approach to SEC enforcement.
Investment advisers and fund managers would be wise to prepare for heightened regulatory scrutiny of their sectors in particular. In the recent past, the SEC relied heavily on deficiency letters from exam staff ....

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SEC Leadership & Enforcement Priorities under Biden

Monday, February 8, 2021
The dust has settled on the 2020 election, and the Biden administration has begun pressing forward with its policy objectives. Critical to achieving such objectives is the Democrats’ control of both the House of Representatives and the Senate, albeit by the narrowest of margins after the Democratic senatorial candidates won their run-off elections in Georgia. As a result of the Georgia elections, Vice President Harris will be able to cast the tie-breaking vote in the case of a deadlock in the Senate. What does the change in administrations mean for SEC enforcement?
SEC Leadership
As part of the transition, Chairman Jay Clayton has already left the Commission, and President Biden has nominated Gary Gensler to replace him. Mr. Gensler, who served as chairman of the Commodity Future Trading Commission (“CFTC”) under the Obama Administration, was widely perceived as an aggressive CFTC chairman during the financial crisis. At that ti ....

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