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26 Jul 2021, 6:15 am
By Joanne Cursinella, J.D.Before a FINRA audience, Commissioner Hester Peirce contemplated the practical realities of securities law and the role it plays in our rapidly changing markets at the FINRA Certified Regulatory and Compliance Professional Program at Georgetown University. [read post]
23 Jul 2021, 1:14 pm
The SEC is a financial regulation agency that has two purposes: protecting investors and promoting capital formation. [read post]
23 Jul 2021, 6:06 am
Niles, Wachtell, Lipton, Rosen & Katz, on Wednesday, July 21, 2021 Tags: Accountability, Board composition, Board oversight, Boards of Directors, Diversity, ESG, Institutional Investors, Stakeholders, Transparency Speech by Commissioner Peirce on ESG Disclosure Posted by Hester M. [read post]
22 Jul 2021, 6:13 am
Kathryn Trkla, the panel’s interlocutor and a partner at Foley & Lardner, noted that former CFTC Chair Tim Massad and SEC Commissioner Hester Peirce have called on the SEC to approve Bitcoin ETFs, and asked what else must happen for the SEC to move forward with approval.Gensler said that while the SEC is technology neutral, it is not neutral regarding the need for investor protection. [read post]
21 Jul 2021, 1:40 pm
SEC Commissioner Hester Pierce's analysis of the potential SEC rule making on ESG disclosures is one of the best things I have read on the topic. [read post]
21 Jul 2021, 6:16 am
Posted by Hester M. [read post]
16 Jul 2021, 6:19 am
In response to the regulatory agenda, the two Republican commissioners, Hester Peirce and Elad Roisman, issued a joint statement voicing concerns about efforts to undo certain recently adopted rules. [read post]
13 Jul 2021, 9:05 am
Commissioner Caroline Crenshaw also stated her appreciation for the AMAC’s proposed enhancements to the SEC’s disclosure regime that could promote greater diversity and inclusion in the industry.Commissioner Hester Peirce voiced concerns about the recommendations, however, which she sees as potentially creating government-mandated diversity classifications for the asset management industry. [read post]
13 Jul 2021, 5:54 am
July 13, 2021 Clients, Friends, Associates: We hope that this message finds you well and that you are enjoying the first months of summer. [read post]
9 Jul 2021, 12:50 pm
John, Indiana Man Ordered to Pay Over $5.3 Million In Restitution For Securities Fraud (DOJ Release)ICO "Listing" Website Charged With Unlawfully Touting Digital Asset Securities (SEC Release)In the Matter of Coinschedule (Statement by SEC Commissioner Hester M. [read post]
9 Jul 2021, 7:07 am
While Gensler said this will begin to set the PCAOB "on a path to better protect investors," Commissioners Hester Peirce and Elad Roisman called the decision "hasty and truncated. [read post]
9 Jul 2021, 5:50 am
Puchniak (National University of Singapore), on Friday, July 2, 2021 Tags: Controlling shareholders, Corporate purpose, ESG, Financial crisis, Institutional Investors, International governance, Short-termism, Stewardship, Stewardship Code, Systemic risk, UK, UK Corporate Governance Code Key Considerations for Companies Looking to Integrate ESG and DE&I Into Compensation Programs Posted by Blair Jones, Semler Brossy,… [read post]
8 Jul 2021, 6:25 am
By Lene Powell, J.D.SEC Commissioner Hester Peirce has weighed in on an IFRS proposal to create a new International Sustainability Standards Board (ISSB), finding deep flaws with the idea of a new board to oversee globally aligned sustainability reporting standards. [read post]
3 Jul 2021, 6:56 am
Posted by Hester M. [read post]
18 Jun 2021, 5:55 am
., on Monday, June 14, 2021 Tags: Climate change, Engagement, Environmental disclosure, ESG, Index funds, Institutional Investors, Materiality, Say on climate, Sustainability Wachtell Lipton’s Spin-Off Guide Posted by Deborah Paul, Victor Goldfeld, and Sabrina Khan, Wachtell, Lipton, Rosen & Katz, on Tuesday, June 15, 2021 Tags: Financial reporting, IPO Spinning, Related parties, Related party… [read post]
16 Jun 2021, 6:46 am
Commissioners Hester Peirce and Elad Roisman released a statement questioning the makeup of the agenda. [read post]
15 Jun 2021, 6:00 am
Posted by Hester M. [read post]
11 Jun 2021, 9:20 am
Hester Peirce, one of two Republicans among the five commissioners at the Securities and Exchange Commission, told the Financial Times she was worried about the push by several US regulators to play a more active role in the $1.5tn cryptocurrency market. [read post]
11 Jun 2021, 6:08 am
Miller (University of Iowa), on Tuesday, June 8, 2021 Tags: Adverse effects, COVID-19, Materiality, Mergers & acquisitions, Risk, Risk disclosure Statement by Commissioner Peirce and Commissioner Roisman on The Commission’s Actions Regarding the PCAOB Posted by Hester M. [read post]
10 Jun 2021, 4:56 am
Bart Hester (R-Cave Springs). [read post]
