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SEC Risk Alert Notes Deficiencies in ESG Investing Processes

SEC Risk Alert Notes Deficiencies in ESG Investing Processes By April 12, 2021 The SEC Division of Examinations has issued a Risk Alert to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering ESG products and services. According to the Risk Alert, during examinations of investment advisers, registered investment companies, and private funds engaged in ESG investing, the staff observed some instances of potentially misleading statements regarding ESG investing processes and representations regarding the adherence to global ESG frameworks. The staff noted, despite claims to have formal processes in place for ESG investing, a lack of policies and procedures related to ESG investing; policies and procedures that did not appear to be reasonably designed to prevent violations of law, or that were not implemented; documentation of ESG-related investment decisions that was weak or unclear; and compliance program

Bysteve quinlivanSteve quinlivanDivision of examinationsAlert notes deficienciesRisk alertபிரிவு ஆஃப் தேர்வுகள்ஆபத்து எச்சரிக்கை

SEC Reissues and Updates Guidance for Annual Meetings and COVID-19

SEC Reissues and Updates Guidance for Annual Meetings and COVID-19
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Bysteve quinlivanSteve quinlivanUpdates guidanceAnnual meetingsFull setபுதுப்பிப்புகள் வழிகாட்டல்ஆண்டு கூட்டங்கள்முழு அமை

Corp Fin Director Questions Application of PSLRA to De-SPAC Transactions

Corp Fin Director Questions Application of PSLRA to De-SPAC Transactions By April 9, 2021 John Coates, Acting Director, Division of Corporation Finance, issued a statement questioning the application of the safe harbor for forward looking information in the Private Securities Litigation Reform Act (PSLRA) to a de-SPAC transaction. A de-PAC transaction occurs when a SPAC, which is already public, acquires a private company which results in the private company being publically owned. Mr. Coates takes issue with the often repeated claim by some but not all SPAC enthusiasts that an advantage of SPACs over traditional IPOs is lesser securities law liability exposure for targets and the public company itself. This asserted lesser liability is focused on using projections and other valuation materials of a kind that is not commonly found in conventional IPO prospectuses because such materials are thought to benefit from the safe harbor for forwarding looking information provided

Bysteve quinlivanSteve quinlivanJohn coatesDivision of corporationCorp finCorp fin director questions applicationActing directorCorporation financePrivate securities litigation reform actஜான் பூச்சுகள்பிரிவு ஆஃப் நிறுவனம்கார்ப் துடுப்புநடிப்பு இயக்குனர்நிறுவனம் நிதிப்ரைவேட் பத்திரங்கள் வழக்கு சீர்திருத்தம் நாடகம்

FINCEN Takes Steps Toward Preparing Regulations for Beneficial Ownership Reporting Under the Corporate Transparency Act

FINCEN Takes Steps Toward Preparing Regulations for Beneficial Ownership Reporting Under the Corporate Transparency Act By April 7, 2021 FINCEN has issued an Advance Notice of Proposed Rulemaking, or ANPRM to solicit public comment on a wide range of questions related to the implementation of the beneficial ownership information reporting provisions of the Corporate Transparency Act, or CTA. The CTA requires reporting of beneficial ownership information by “reporting companies.” The CTA defines a reporting company as a corporation, LLC, or other similar entity that is (i) created by the filing of a document with a secretary of state or a similar office under the law of a state or Indian tribe, or (ii) formed under the law of a foreign country and registered to do business in the United States by the filing of a document with a secretary of state or a similar office under the laws of a state or Indian tribe. The CTA exempts certain categories of entities from the reportin

United statesBysteve quinlivanSteve quinlivanSecurities exchangeSteps toward preparing regulationsBeneficial ownership reporting underCorporate transparencyAdvance noticeProposed rulemakingCorporate transparency actSecurities exchange actஒன்றுபட்டது மாநிலங்களில்பத்திரங்கள் பரிமாற்றம்படிகள் நோக்கி ப்ரிபேரிஂக் ஒழுங்குமுறைகள்நன்மை பயக்கும் ஓநர்‌ஶிப் புகாரளித்தல் கீழ்பெருநிறுவன வெளிப்படைத்தன்மை

PCAOB Releases 2021 Audit Committee Resource

PCAOB Releases 2021 Audit Committee Resource By April 6, 2021 The PCAOB has released a publication captioned “Audit Committee Resource: 2021 Inspections Outlook.” The purpose of the three-page publication is to assist audit committees in engaging in informed dialogue with their auditors on the PCAOB’s planned focus of their examination of public company audits. Topics covered in the publication include: Auditor’s risk assessments Fraud procedures Supervision of audits involving other auditors Contact Topics: Topics Related Links Select related link http://thomas.loc.gov/cgi-bin/query/z?c111:H.R.4173: Dodd-Frank Wall Street Reform and Consumer Protection Act Dodd-Frank Wall Street Reform and Consumer Protection Acthttps://www.stinson.com/capabilities-BankingandFinancialServices Banking and Financial Services

Bysteve quinlivanSteve quinlivanAudit committee resourceCommittee resourceதணிக்கை குழு வளகுழு வள