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3 May 2024, 6:00 am
This is the first of a four-part series dealing with climate change in Colorado. [read post]
3 May 2024, 6:00 am
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. [read post]
3 May 2024, 3:04 am
By Hon. [read post]
2 May 2024, 4:37 pm
The SEC has made it very clear that it is monitoring companies’ AI-related disclosures. [read post]
2 May 2024, 1:28 pm
The verdict was in the case of SEC v Panuwat and SEC watchers are saying that this is a key focus of the agency and it is expected to pursue more cases of shadow trading. [read post]
2 May 2024, 12:52 pm
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to a whistleblower who voluntarily disclosed original information which led to a successful enforcement action. [read post]
2 May 2024, 12:35 pm
The SEC also charged two former RBC executives in connection with the violations. [read post]
2 May 2024, 8:34 am
Join NWC in Taking Action: Protect Internal Corporate Whistleblowers Further Reading: The SEC Award Order SEC Whistleblower Program had a Record-Setting 2023 Fiscal Year More SEC Whistleblower News The post SEC Grants $2.4 Million Whistleblower Award to Compliance Official appeared first on Whistleblower Network News. [read post]
2 May 2024, 8:03 am
Also in attendance were officials from the SEC, FinCEN, CFTC, and DOJ. [read post]
2 May 2024, 3:05 am
“NAM first on April 16, with the SEC following a week later on April 23. [read post]
2 May 2024, 12:15 am
Does the SEC's rulemaking change California law with respect to who qualifies for the trader exemption? [read post]
1 May 2024, 10:16 pm
Komarow reached a partial settlement with the SEC, agreeing not to open any brokerage accounts without providing a copy of the SEC’s court complaint and judgment and is barred from placing trades using unsettled cash. [read post]
1 May 2024, 10:42 am
Under the Rule, the SEC does not have to prove any connection. [read post]
1 May 2024, 7:59 am
Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Internal Revenue Service (IRS). [read post]
1 May 2024, 6:30 am
The changes to the reporting requirements mandated by the amendments to the Form (“Form PF Amendments”) will require substantial preparation by many managers.[1] The Form PF Amendments are designed to enhance both the SEC’s and the Financial Stability Oversight Council’s (“FSOC”) monitoring of systemic risk, and strengthen the regulatory oversight of private funds and investor protection efforts.[2] The Form PF Amendments were jointly adopted by the… [read post]
1 May 2024, 6:30 am
The changes to the reporting requirements mandated by the amendments to the Form (“Form PF Amendments”) will require substantial preparation by many managers.[1] The Form PF Amendments are designed to enhance both the SEC’s and the Financial Stability Oversight Council’s (“FSOC”) monitoring of systemic risk, and strengthen the regulatory oversight of private funds and investor protection efforts.[2] The Form PF Amendments were jointly adopted by the… [read post]
1 May 2024, 4:24 am
Legislative and Regulatory Challenges There are debates about the legal authority of bodies like the SEC to enforce ESG and climate-related disclosure standards. [read post]
1 May 2024, 3:00 am
With the SEC’s regulatory agenda continuing apace and no end in sight to the global, economic and political uncertainty we’ve faced in recent years, make sure you’re getting the guidance and knowledge you need (and expect from us!) [read post]
30 Apr 2024, 12:19 pm
To determine how to exercise its discretion within this range, the DOJ should model its guidelines after those stipulated by the SEC, they argue. [read post]
30 Apr 2024, 8:53 am
In the first few months of 2024, the Securities and Exchange Commission (“SEC”) launched multiple major offensives against a broad array of cryptocurrency companies. [read post]
