SEC – Page 9 – Patomak Global Partners

Insights

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

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.

WSJ: Election Marks Crossroads for SEC

News Patomak Global Partners

Wall Street Journal reporter Tatyana Shumsky writes:

The Securities and Exchange Commission is likely to get a new chairman no matter who wins Tuesday's presidential election, raising doubts about the agency's priorities....

...The SEC says it already has completed nearly 80% of the rulemaking under the Dodd-Frank financial overhaul law, which was enacted in 2010. The agency's remaining tasks under the law include completing rules requiring companies to report how executive pay is linked to performance and to outline their policies on clawback and hedging and how they are enforced...

"A Trump chairman could go look at what's been done and go back and amend things," said Daniel Gallagher, a former Republican SEC Commissioner and now a partner at Washington-based consulting firm Patomak Global Partners LLC.

Forbes Op/ed: SEC Must End Mutual Fund Paper Chase

News Paul Atkins

Paul Atkins, Patomak Global Partners CEO, writes in an op/ed in Forbes: Even amidst the rancor and divisiveness that currently blanket Washington, the federal government has a bipartisan opportunity to reduce costs and improve disclosure for investors, while in the process helping the environment, and eliminating expensive, unnecessary papershuffling. Unfortunately, the Securities and Exchange Commission (SEC) struck out on an opportunity to get it done at its public meeting last month.

Insights

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.

WSJ: Election Marks Crossroads for SEC

Wall Street Journal reporter Tatyana Shumsky writes:

The Securities and Exchange Commission is likely to get a new chairman no matter who wins Tuesday's presidential election, raising doubts about the agency's priorities....

"A Trump chairman could go look at what's been done and go back and amend things," said Daniel Gallagher, a former Republican SEC Commissioner and now a partner at Washington-based consulting firm Patomak Global Partners LLC.

Forbes Op/ed: SEC Must End Mutual Fund Paper Chase

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