On September 20, 2023, the SEC approved amendments to the "Names Rule," which were initially proposed in May 2022. Although the stated "purpose of the Names Rule," according to the.
Who may be interested: Registered Investment Companies, Investment Advisers, Boards of Directors - Quick Take: The SEC recently adopted1 amendments (Amendments) to.
The U.S. Securities and Exchange Commission (SEC) on Monday fined DWS Securities, a subsidiary of Deutsche Bank (DB), a combined $25 million for misstatements regarding its ESG reporting and failure to set up an anti-money laundering program.
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On September 20, 2023, the U.S. Securities and Exchange Commission, by a vote of four to one, adopted amendments to the current rule regarding registered fund names, as well as certain.