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2 Apr 2024, 12:05 pm
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “What does your financial future look like? [read post]
1 Apr 2024, 3:12 pm
The Securities Exchange Commission filed a parallel action for related conduct on the same day the CFTC initiated its enforcement action, but resolved its claims against Empire Consulting in 2023. [read post]
1 Apr 2024, 11:55 am
In a previous blog , we discussed Securities and Exchange Commission v. [read post]
1 Apr 2024, 11:51 am
Enforcing the FCPA is a perennial priority for DOJ and the Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
1 Apr 2024, 6:44 am
It prohibits retaliation against employees who engage in certain activities, including: – Assisting or participating in an internal investigation of suspected wrongdoing under federal fraud statutes or securities regulations; – Assisting or participating in an investigation by the Securities and Exchange Commission (SEC), Congress, or another federal agency involving alleged fraud or securities violations; and – Filing a complaint with… [read post]
1 Apr 2024, 6:30 am
Summary On March 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-to-2 vote[1] adopted its landmark climate-related disclosure rules (the “Final Rules”), which will significantly expand the climate-related information that U.S. public companies and foreign private issuers (other than Canadian issuers reporting on Form 40-F) will be required to disclose in their periodic reports and registration statements.[2] Our March 7, 2024… [read post]
1 Apr 2024, 6:30 am
Summary On March 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-to-2 vote[1] adopted its landmark climate-related disclosure rules (the “Final Rules”), which will significantly expand the climate-related information that U.S. public companies and foreign private issuers (other than Canadian issuers reporting on Form 40-F) will be required to disclose in their periodic reports and registration statements.[2] Our March 7, 2024… [read post]
30 Mar 2024, 6:30 am
On March 6, 2024, the Securities and Exchange Commission (SEC) voted 3-2 to adopt new rules mandating climate-related disclosures in public companies’ annual reports and registration statements. [read post]
30 Mar 2024, 6:30 am
On March 6, 2024, the Securities and Exchange Commission (SEC) voted 3-2 to adopt new rules mandating climate-related disclosures in public companies’ annual reports and registration statements. [read post]
30 Mar 2024, 5:14 am
Like the EPA in Sarinsky’s piece, agencies should follow the good example of the Securities and Exchange Commission in SEC v. [read post]
29 Mar 2024, 10:07 am
Bankman-Fried also faces charges brought by the US Securities and Exchange Commission (SEC), which alleges that Bankman-Fried wrongly redirected FTX customer funds to his private crypto hedge fund called Alameda Research LLC. [read post]
29 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Tags: Climate, cyber disclosure, SEC, SPACs, U.S. [read post]
29 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Tags: Climate, cyber disclosure, SEC, SPACs, U.S. [read post]
29 Mar 2024, 5:22 am
Most recently, Gary Gensler, the Chair of the Securities and Exchange Commission (SEC), raised concerns about the overreliance on AI in financial decision-making. [read post]
29 Mar 2024, 4:00 am
The FEC Wants to Let Campaigns Pay for Security. [read post]
29 Mar 2024, 12:15 am
I discussed this problem and even offered a less than hyperbolic solution about a decade ago in this post: The Securities and Exchange Commission should create a list of standard risk factors and issuers should be required to incorporate by reference all applicable risk factors into their filings. [read post]
28 Mar 2024, 9:05 pm
., Securities and Exchange Commission and Commodity Futures Trading Commission programs authorized under Dodd-Frank as well as similar programs implemented by the Internal Revenue Service and the Financial Crimes Enforcement Network). [read post]
28 Mar 2024, 9:01 pm
Treasury Department, issued a Notice of Proposed Rulemaking (“Proposed Rule”) that would extend certain anti-money laundering program requirements to: investment advisers registered (“RIAs”) with the Securities and Exchange Commission (“SEC”); and investment advisers that report to the SEC as exempt reporting advisers (“ERAs”). [read post]
28 Mar 2024, 10:04 am
This is in light of the US Securities and Exchange Commission announcing its move to T+1 with effect from 28 May 2024 which followed the earlier move to T+1 in India and China’s operation of T+0 for many years. [read post]
27 Mar 2024, 8:10 pm
The Securities and Exchange Commission (SEC) keeps record of every company in the United States. [read post]
