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.
00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2017-05-01 15:28:222023-07-21 16:00:33Milken Institute Global Conference: First 100 Days–and the Next 1,000
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.
00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2017-03-23 14:23:002023-07-21 16:00:44CNBC: Atkins on Clayton Nomination Hearing, IPOs, and Reg NMS
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.
https://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.png00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2017-02-28 15:28:592023-07-21 16:00:49WSJ: SEC Advances Regulation Efforts Even as White House Signals Rollback
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."
https://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.png00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2017-02-27 15:50:002023-07-21 16:00:55Securities and Exchange Commission Staff Provide Guidance to Investment Advisers on Compliance Requirements for Robo-Advisers
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.
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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.
00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2017-02-24 16:27:002023-07-21 16:01:07Bloomberg Daybreak Americas: Paul Atkins Talks About IPOs, Investor Disclosure
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.
https://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.png00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2017-01-13 16:13:002023-07-21 16:01:22Securities and Exchange Commission Details Exam Priorities 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.
00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2017-01-03 15:01:092023-07-21 16:01:28CNBC: Patomak President Dan Gallagher Talks SEC Outlook in 2017
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.
https://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.png00Patomak Global Partnershttps://patomak.com/wp-content/uploads/2022/12/PGP-Header-Logo-Stacked.pngPatomak Global Partners2016-12-15 16:02:002023-07-21 16:01:33SEC Examining the Supervisory Practices of SEC-Registered Investment Advisers’ Branch Offices