Tag: SEC
Senior legal analysts explore the latest SEC initiatives around ESG disclosure for asset managers, as well the strident opposition and likely legal challenges the agency’s controversial proposals will encounter As...
Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms...
On Monday, September 19, 2022, the Securities and Exchange Commission issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto...
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first...
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury...
Listed companies will be required to credibly commit to good green governance Companies can dually list alongside their primary exchange Listing standards embed a culture of green compliance directly into...
The Securities and Exchange Commission today announced charges against a number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their...
The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has...
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments, which the Commodity...
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee released the agenda for its virtual meeting on Tuesday, Aug. 2, which will address liquidity challenges for investors in small and emerging businesses....
The Securities and Exchange Commission today announced charges against Health Insurance Innovations (HII) and its former CEO Gavin Southwell for concealing extensive consumer complaints about short-term and limited health insurance...
The Securities and Exchange Commission on July 13, 2022 proposed amendments to the rule that governs the process for including shareholder proposals in a company’s proxy statement. Under Rule 14a-8,...
Amendments Address Concerns by Investors and Others Regarding Rules That May Impair the Timeliness and Independence of Proxy Voting Advice The Securities and Exchange Commission voted on July 13, 2022...
Urges More Prescriptive Climate Risk and Impact Calculation and Reporting Requirements Benchmark ESG (Benchmark), a leading provider of cloud-based Environmental, Social, and Governance (ESG) enterprise software solutions, last month filed...
On June 23, 2022, the Securities and Exchange Commission adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to be filed or...
The SEC has proposed rule and form amendments that, would require additional disclosures regarding environmental, social, and governance (ESG) investment practices by RIAs, registered investment companies, and business development companies....
Climate proposals in the U.S., Europe, and internationally converge amidst public consultation A new report “The Evolution of Sustainability Disclosure” released today by the Sustainability Institute by ERM (ERM) and Persefoni reveals that there is...
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 9. The meeting will be webcast on the SEC website. The committee will host two panels,...
Amendments Will Help Modernize How Information Is Submitted to Commission The Securities and Exchange Commission today announced that it adopted amendments to require certain forms that currently are permitted to...
Action adds to probes by SEC and federal prosecutors in the U.S. into asset manager’s claims of sustainable investing The Frankfurt offices of Deutsche Bank AG and its asset-management subsidiary DWS Group were...
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