Tag: Securities and Exchanges Commission
Defendant presented himself as a special forces veteran and Harvard grad to gain investor trust The Securities and Exchange Commission today charged Justin Costello for using a false persona, as...
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...
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee...
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 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 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 today proposed new rules to help improve governance arrangements across all registered clearing agencies by reducing the likelihood that conflicts of interest may influence the...
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....
Accounting to recent report by Reuters, The U.S. Securities and Exchange Commission (SEC) on Wednesday proposed a pair of rule changes aimed at stamping out unfounded claims by funds on...
On May 9, 2022, the Securities and Exchange Commission announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors...
The SEC is considering a proposal to mandate climate risk disclosures by public companies. A statement from SEC Chair Gary Gensler said that the proposal, “would provide investors with consistent, comparable, and...
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