Search for: "Securities and Exchange Commission"
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11 Apr 2024, 4:57 am
Securities and Exchange Commission officials convened at the SEC Speaks Conference in Washington, D.C., to discuss the Commission’s accomplishments in fiscal year 2023 and announce its priorities for 2024. [read post]
10 Apr 2024, 3:10 pm
Securities and Exchange Commission (“SEC”) adopted two new rules with a 3-2 vote along party lines. [read post]
10 Apr 2024, 3:15 am
Securities and Exchange Commission Mr. [read post]
9 Apr 2024, 10:34 am
Over the past 2.5 years the Securities and Exchange Commission has charged 60 investment advisory firms and broker-dealers with violations of the record-keeping requirements and collected penalties approaching $2 billion. [read post]
9 Apr 2024, 2:34 am
This webinar, featuring a discussion with members of our US ESG team, will include a closer look at the new US Securities and Exchange Commission (SEC) and Californian ESG legislation from a financial services perspective. [read post]
8 Apr 2024, 10:59 pm
Securities and Exchange Commission (SEC) brought an enforcement action against Mr. [read post]
8 Apr 2024, 10:00 pm
This note also includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to ESG matters. [read post]
8 Apr 2024, 4:38 pm
They will then try to determine whether the gun is stolen or if it was used in the commission of a crime, and they may be able to locate the rightful owner. [read post]
8 Apr 2024, 4:38 pm
They will then try to determine whether the gun is stolen or if it was used in the commission of a crime, and they may be able to locate the rightful owner. [read post]
8 Apr 2024, 2:03 pm
The challenge is for Caricom to plot a course which incorporates the development of innovation, technology and intellectual property rights which will propel the region to a greater scale of global competitiveness, and even more important, the creation of technologies which can assist the region with overcoming significant challenges such as food security and climate change. [read post]
8 Apr 2024, 1:15 pm
Since the proposal was published, the European Union, the Securities and Exchange Commission (SEC), and the State of California have enacted or announced that they will enact policies that contain requirements for parties to inventory their emissions and, in some cases, set science-based targets similar to those required by the Proposed Rule. [read post]
8 Apr 2024, 8:23 am
On 4 April 2024, the International Organisation for Securities Commissions (IOSCO) published a Consultation Report titled Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices. [read post]
8 Apr 2024, 3:10 am
For completeness, REMIT II defines OMPs as an energy exchange, an energy broker, an energy capacity platform or any other system of facility in which multiple third-party buying or selling interests in wholesale energy products interact in a manner that may result in a transaction. 5. [read post]
8 Apr 2024, 12:15 am
Securities and Exchange Commission's Director of Enforcement celebrated a jury verdict in its insider trading case against Matthew Panuwat: As we’ve said all along, there was nothing novel about this matter, and the jury agreed: this was insider trading, pure and simple. [read post]
7 Apr 2024, 9:05 pm
Securities and Exchange Commission Chair Gary Gensler interpreted the FAIRR Act as proposing to impose a strict liability standard. [read post]
7 Apr 2024, 9:01 pm
Securities and Exchange Commission (SEC) finalised rules mandating that companies record and disclose a range of climate risks and environmental data. [read post]
6 Apr 2024, 6:31 am
Securities and Exchange Commission. [read post]
6 Apr 2024, 6:31 am
Securities and Exchange Commission. [read post]
5 Apr 2024, 1:06 pm
The Washington Post detailed how financial watch dog FINRA, the Security and Exchange Commission, Department of Homeland Security, FBI and Miami Policy cooperated in a cross-border investigation leading to charges by the SEC. [read post]
5 Apr 2024, 8:37 am
Introduction As we previously reported,[1] on March 6, 2024, the Securities and Exchange Commission (the “SEC” or the “Commission”) adopted (in a three-two vote) long-awaited climate-related disclosure rules for public companies (the “Final Rules”).[2] The Final Rules, although not as prescriptive as the rules that were proposed almost two years prior (the “Proposed Rules”),[3] contain broad-sweeping requirements… [read post]
