SEC – Page 8 – Patomak Global Partners

Insights

Bloomberg Law: Ex-SEC Commissioner Atkins Blames IPO Dearth on Regulations

Bloomberg's Andrew Ramonas reports:

Regulatory costs are a major hindrance to companies going public, former Securities and Exchange Commissioner Paul Atkins said today.

Milken Institute Global Conference: First 100 Days–and the Next 1,000

News Patomak Global Partners

Tune in at 1:45pm Eastern on May 1 to hear Patomak CEO Paul Atkins give his take on the Trump Administration’s financial markets regulatory reform efforts at the Milken Institute Global Conference.

CNBC: Atkins on Clayton Nomination Hearing, IPOs, and Reg NMS

News Patomak Global Partners

Paul Atkins, Patomak Global Partners CEO and former SEC commissioner, discusses the confirmation hearing for Trump's pick to head the SEC, Jay Clayton, and the deregulatory push from the administration.

WSJ: SEC Advances Regulation Efforts Even as White House Signals Rollback

News Patomak Global Partners

Wall Street Journal CFO's Tatyana Shumsky writes:

The Securities and Exchange Commission said it is marching ahead with inspections, company filing reviews and enforcement of financial regulations, even though the new administration is painting a future free from such rules.

Securities and Exchange Commission Staff Provide Guidance to Investment Advisers on Compliance Requirements for Robo-Advisers

Securities Patomak Global Partners

The Securities and Exchange Commission’s Division of Investment Management recently issued guidance for investment advisers about the use of robo-advisers, including suggestions on how to fulfill disclosure, suitability, and compliance requirements under the Investment Advisers Act of 1940, “given the unique challenges and opportunities presented by these programs."

WSJ: SEC Says Conflict Minerals, Pay Ratio Rules Remain in Force

News Patomak Global Partners

Wall Street Journal CFO reporter Tatyana Shumsky writes:

Companies must continue to comply with the Securities and Exchange Commission’s rules on disclosing “conflict minerals” and the ratio comparing executive pay to the median employee, said Shelley Parratt, acting director of the SEC’s division of corporation finance, on Friday.

SEC acting chairman Michael Piwowar in recent weeks has requested public comment on the two provisions of the Dodd-Frank overhaul law. Mr. Piwowar also instructed SEC staff to look at the rule mandate and see if alternate interpretations could offer some relief to companies trying to comply.

Bloomberg Daybreak Americas: Paul Atkins Talks About IPOs, Investor Disclosure

News Patomak Global Partners

Patomak Global Partners CEO Paul Atkins joins Bloomberg’s Daybreak Americas to talk about the changes in how companies approach Initial Public Offerings in the U.S., and the role of the SEC in providing investor protections, including ensuring that investors receive meaningful, material information to make investment decisions.

Securities and Exchange Commission Details Exam Priorities in 2017

Securities Patomak Global Partners

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations recently released its 2017 priorities. This year's areas of focus include examining for cybersecurity; investor protection initiatives; and identifying market-wide risks, including money market fund compliance with new rules and systems compliance integrity. Patomak Global Partners has deep expertise in risk management and compliance to help firms evaluate and enhance existing compliance programs.

CNBC: Patomak President Dan Gallagher Talks SEC Outlook in 2017

News Patomak Global Partners

Patomak President Dan Gallagher joined CNBC's Closing Bell to talk about the SEC outlook in 2017 in the Trump Administration with a new Chairman and agenda.

SEC Examining the Supervisory Practices of SEC-Registered Investment Advisers’ Branch Offices

Securities Patomak Global Partners

Investment advisers’ branch offices will be subject to heightened Securities and Exchange Commission (SEC) scrutiny according to a recent SEC Office of Compliance Inspections and Examinations (OCIE) Risk Alert.

Insights

Bloomberg Law: Ex-SEC Commissioner Atkins Blames IPO Dearth on Regulations

Bloomberg's Andrew Ramonas reports:

Regulatory costs are a major hindrance to companies going public, former Securities and Exchange Commissioner Paul Atkins said today.

Milken Institute Global Conference: First 100 Days–and the Next 1,000

Tune in at 1:45pm Eastern on May 1 to hear Patomak CEO Paul Atkins give his take on the Trump Administration’s financial markets regulatory reform efforts at the Milken Institute Global Conference.

CNBC: Atkins on Clayton Nomination Hearing, IPOs, and Reg NMS

Paul Atkins, Patomak Global Partners CEO and former SEC commissioner, discusses the confirmation hearing for Trump's pick to head the SEC, Jay Clayton, and the deregulatory push from the administration.

WSJ: SEC Advances Regulation Efforts Even as White House Signals Rollback

Wall Street Journal CFO's Tatyana Shumsky writes:

The Securities and Exchange Commission said it is marching ahead with inspections, company filing reviews and enforcement of financial regulations, even though the new administration is painting a future free from such rules.

Securities and Exchange Commission Staff Provide Guidance to Investment Advisers on Compliance Requirements for Robo-Advisers

WSJ: SEC Says Conflict Minerals, Pay Ratio Rules Remain in Force

Wall Street Journal CFO reporter Tatyana Shumsky writes:

Companies must continue to comply with the Securities and Exchange Commission’s rules on disclosing “conflict minerals” and the ratio comparing executive pay to the median employee, said Shelley Parratt, acting director of the SEC’s division of corporation finance, on Friday.

SEC acting chairman Michael Piwowar in recent weeks has requested public comment on the two provisions of the Dodd-Frank overhaul law. Mr. Piwowar also instructed SEC staff to look at the rule mandate and see if alternate interpretations could offer some relief to companies trying to comply.

Bloomberg Daybreak Americas: Paul Atkins Talks About IPOs, Investor Disclosure

Securities and Exchange Commission Details Exam Priorities in 2017

CNBC: Patomak President Dan Gallagher Talks SEC Outlook in 2017

Patomak President Dan Gallagher joined CNBC's Closing Bell to talk about the SEC outlook in 2017 in the Trump Administration with a new Chairman and agenda.

SEC Examining the Supervisory Practices of SEC-Registered Investment Advisers’ Branch Offices

Investment advisers’ branch offices will be subject to heightened Securities and Exchange Commission (SEC) scrutiny according to a recent SEC Office of Compliance Inspections and Examinations (OCIE) Risk Alert.

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