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31 Oct 2022, 6:31 am
Posted by Hester M. [read post]
30 Oct 2022, 6:31 am
Posted by Hester M. [read post]
29 Oct 2022, 6:31 am
Posted by Hester M. [read post]
28 Oct 2022, 6:32 am
Posted by Mark T. [read post]
27 Oct 2022, 5:39 am
The amendments will not affect the availability of Rule 30e-3 for closed-end funds and management companies that offer variable annuity contracts.Commissioners Hester Peirce and Jaime Lizárraga also voted to approve the amendments. [read post]
21 Oct 2022, 6:30 am
Chia, Soundboard Governance LLC, on Friday, October 14, 2022 Tags: Corporate governance, Cybersecurity, Databases, ESG, Risk, Taxation Remarks by Commissioner Peirce before the University of California Irvine Audit Committee Summit Posted by Hester M. [read post]
14 Oct 2022, 6:32 am
Posted by Hester M. [read post]
13 Oct 2022, 5:07 pm
The paper Commissioner @HesterPeirce cited was Sarbanes-Oxley § 404 at Twenty (August 26, 2022). [read post]
17 Sep 2022, 9:15 am
Department of Housing and Urban Development Assistant Inspector General Convicted of Falsifying Financial Disclosure Forms (DOJ Release)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)SEC Charges Investment Adviser with Violating the Proxy Voting Rule (SEC Release)Statement Regarding In the Matter of Toews Corporation by SEC Commissioner Hester Peirce and Commissioner Mark T. [read post]
2 Sep 2022, 6:30 am
Securities and Exchange Commission, on Saturday, August 27, 2022 Tags: Dodd-Frank Act, Executive Compensation, Incentives, Pay for performance, Performance measures, SEC, SEC rulemaking, Securities regulation Statement by Commissioner Peirce on Final Amendments to the Whistleblower Program Posted by Hester M. [read post]
1 Sep 2022, 8:35 am
” The two Commissioners who voted against the rule changes, Hester Peirce and Mark Uyeda, also clearly praised the success of the program in their dissenting statements. [read post]
28 Aug 2022, 9:01 pm
Commissioners Hester Peirce and Mark Uyeda opposed the amendments, and their statements are available here and here. [read post]
28 Aug 2022, 6:30 am
Posted by Hester M. [read post]
28 Aug 2022, 6:30 am
Posted by Hester M. [read post]
27 Aug 2022, 9:19 am
Caretaker of Senior Couple Sentenced for Stealing Hundreds of Thousands from Elderly Couple’s Bank Accounts (DOJ Release)Latvian Individual Extradited for Securities Fraud and Wire Fraud in Cryptocurrency Scheme (DOJ Release)Gatekeepers Ordered to Pay Nearly $1 Million in Monetary Remedies for Microcap Shell Factory Fraud (SEC Release)SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips (SEC Release)On the Consequences of an Inconsequential Rulemaking: Statement Regarding Amendments… [read post]
24 Aug 2022, 6:31 am
SEC Holds Chief Compliance Officer (CCO) Liable for Failing to Implement Policies and Procedures On July 1, 2022, Commissioner Hester M. [read post]
24 Aug 2022, 6:31 am
SEC Holds Chief Compliance Officer (CCO) Liable for Failing to Implement Policies and Procedures On July 1, 2022, Commissioner Hester M. [read post]
17 Aug 2022, 1:08 pm
In a separately issued statement, SEC Commissioner Hester Peirce expressed that, while she approved of the settlement terms, she doubted that the SEC could, through an enforcement action, require a company to exclude from its scope any disclosure to any government agency rather than limit the exclusion to the SEC. [read post]
8 Aug 2022, 4:02 am
CrenshawEnhancing Private Fund Adviser Reporting Data (Statement by SEC Commissioner Jaime Lizárraga)Statement on Proposed Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers by SEC Commissioner Hester M. [read post]
3 Aug 2022, 12:16 pm
(Thomas Franck, CNBC; Hester Peirce, Securities and Exchange Commission). [read post]
