Oversight of the SEC’s Division of Investment Management

Williams & Jensen
On October 23, the House Financial Services Committee’s Subcommittee on Capital Markets and Government Sponsored Enterprises held a hearing on “Oversight of the SEC’s Division of Investment Management.” The hearing focused on the Department of Labor (DOL) fiduciary duty rule, the designation of asset managers as systemically important financial institutions (SIFI), the use of proxy advisers, and regulation of private funds.

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