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30 May 2023, 6:30 am by Unknown
By Jay Fishman, J.D.SEC Chair Gary Gensler spoke to the Investment Company Institute (ICI) about Commission fund proposals at the ICI’s Leadership Summit held in Washington D.C. from May 23rd to May 25th. [read post]
26 May 2023, 6:30 am
., on Friday, May 19, 2023 Tags: Board of Directors, Executive Compensation, Investment Stewardship, Risk, Shareholder activism, strategy Remarks by Chair Gensler before the Inaugural Conference on Emerging Trends in Asset Management Posted by Gary Gensler, U.S. [read post]
26 May 2023, 6:30 am
., on Friday, May 19, 2023 Tags: Board of Directors, Executive Compensation, Investment Stewardship, Risk, Shareholder activism, strategy Remarks by Chair Gensler before the Inaugural Conference on Emerging Trends in Asset Management Posted by Gary Gensler, U.S. [read post]
25 May 2023, 9:01 pm by renholding
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
SEC Chairperson Gary Gensler recently stated that “bookkeeping sweeps are ongoing,” having resulted in well over $1 billion in fines so far. [read post]
SEC Chairperson Gary Gensler recently stated that “bookkeeping sweeps are ongoing,” having resulted in well over $1 billion in fines so far. [read post]
23 May 2023, 9:05 pm by renholding
As senator Gary Peters – one of the authors of the Dodd-Frank Act – wrote to regulators including Gary Gensler and Jay Powell in March: Section 956 of Dodd-Frank was intended to require financial regulators to quickly and collaboratively issue rules requiring financial institutions to disclose any incentive-based executive compensation arrangements that encourage excessive risk-taking at financial institutions or that may lead to financial loss. [read post]
23 May 2023, 9:01 pm by renholding
I am pleased to welcome everyone to the Division of Investment Management’s inaugural Conference on Emerging Trends in Asset Management. [read post]
22 May 2023, 5:53 am by Unknown
The ICI and/or several of its members have met with SEC officials regarding the proposed Fund ESG Rule (and a related fund names proposal) six times since the Commission issued the proposal almost a year ago, including twice with Chair Gary Gensler and SEC staff, and once each with Commissioners Jaime Lizárraga and Mark T. [read post]
18 May 2023, 7:38 am by Geoff Schweller
In past years speakers have included whistleblowers such as Sherron Watkins and Linda Tripp as well as government officials like SEC Chair Gary Gensler and Secretary of Labor Marty Walsh. [read post]
18 May 2023, 6:23 am by Unknown
“Intraday margin calls played an important role in clearinghouses’ ability to respond to volatility during the January 2021 ‘meme-stock’ events and during recent periods of heightened Treasury volatility,” said Gensler. [read post]
17 May 2023, 7:10 am by Unknown
By Suzanne CosgroveTracing the history of fires – real ones, like the Great Chicago Fire of 1871, and figurative flare-ups, like the global crisis of 2008, SEC Chairman Gary Gensler noted the past “is replete with times when fires in one corner of the financial system or at one financial institution spread to the broader economy. [read post]
16 May 2023, 9:01 pm by renholding
SEC Chair Gary Gensler also noted that the Task Force would focus on truth in advertising in fund disclosures when using terms like “green” and “sustainable. [read post]
15 May 2023, 2:10 am by Meredith Ervine
In his remarks before the International Swaps and Derivatives Association Annual Meeting on May 10, SEC Chair Gary Gensler gave his two cents on the debt ceiling, and I can’t say they’ll help me sleep better at night. [read post]
12 May 2023, 6:30 am
Securities and Exchange Commission, on Friday, May 5, 2023 Tags: disclosures, Financial institutions, FPIs, Monetary policy, SEC enforcement, Share Buybacks Statement by Chair Gensler on Share Repurchase Disclosure Modernization Posted by Gary Gensler, U.S. [read post]
12 May 2023, 6:30 am
Securities and Exchange Commission, on Friday, May 5, 2023 Tags: disclosures, Financial institutions, FPIs, Monetary policy, SEC enforcement, Share Buybacks Statement by Chair Gensler on Share Repurchase Disclosure Modernization Posted by Gary Gensler, U.S. [read post]
11 May 2023, 5:22 am by Unknown
“The short history of cryptocurrencies is marked by extremely volatile markets; brazenly fraudulent schemes, hacks, and scams; and innumerable failures and bankruptcies leading to billions of dollars of investor losses,” the group wrote.Better Markets agreed with SEC Chair Gary Gensler’s view that most crypto assets are securities, but argued that is not a requirement for bringing crypto assets within the custody rule. [read post]