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Tag: SEC
The U.S. Securities and Exchange Commission (SEC) has formally withdrawn two proposed rules central to the Biden-era ESG regulatory agenda—one requiring enhanced ESG disclosures from investment advisers, and another revising...
The U.S. Securities and Exchange Commission (SEC) has approved the Green Impact Exchange (GIX), paving the way for the country’s first national stock exchange dedicated to sustainability. GIX will offer...
The SEC voted today to stop defending its rules requiring companies to disclose climate risks and greenhouse gas emissions. Acting Chairman Mark T. Uyeda called the disclosure requirements “costly and...
The SEC announced a six-month delay for funds to comply with the recently amended Investment Company Act “Names Rule,” which ensures fund investments match their advertised ESG or sustainability strategies....
For more from Tim Mohin, sign up for his newsletter here The SEC’s beleaguered ESG agenda took another hit this week as their Enforcement Division’s Climate & ESG Task Force, set up...
Despite pushback against Environmental, Social, and Governance (ESG) initiatives, US climate disclosure is gaining momentum through state-level and federal supplier requirements, even as the SEC’s climate rule faces delays. State-Level...
The SEC, in collaboration with CFA Institute and CFA Society Thailand, hosted a training seminar to advance the integration of ESG (Environmental, Social, and Governance) factors into securities analysis and...
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the...
The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint...
Defendant, who was arrested and jailed in a federal prison in Puerto Rico, is awaiting transport to NYC on parallel criminal charges The Securities and Exchange Commission today charged Avraham...
The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. The first whistleblower provided...
Fast Food Company Charged for Public Disclosure Violations The Securities and Exchange Commission today charged Stephen J. Easterbrook, former CEO of McDonald’s Corporation, with making false and misleading statements to...
The Securities and Exchange Commission today announced that former federal prosecutor Antonia M. Apps will become Regional Director of the New York Regional Office next month. Thomas Smith and Maurya...
The Securities and Exchange Commission announced charges against Honeywell International Inc. for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes that took place in Brazil...
Research Firm CEO Who Interacted with FDA on Company’s Behalf Also Charged The Securities and Exchange Commission today charged Nader Pourhassan, the former CEO of CytoDyn Inc., with fraud and...
Bank Agrees to Pay More than $400 Million to Settle SEC Charges The Securities and Exchange Commission today announced fraud charges against Danske Bank, a multinational financial services corporation headquartered...
The Securities and Exchange Commission today charged venture capital firm Vika Ventures LLC and its CEO and co-founder, George Iakovou, with fraudulently offering and selling more than $6 million of...
The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often...
Company Agrees to Pay a Record Penalty in Regulation FD Cases of $6.25 Million The Securities and Exchange Commission today announced that AT&T agreed to pay a $6.25 million penalty...
The Securities and Exchange Commission charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as ESG...
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