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United States: The Securities and Exchange Commission New Year s resolution? Market restructuring for all!

United States: The Securities and Exchange Commission New Year s resolution? Market restructuring for all!
globalcompliancenews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from globalcompliancenews.com Daily Mail and Mail on Sunday newspapers.

United statesAuthorjenniferl klassAuthoramyj greerRaymond jamesGavin meyersJenniferl klassAuthorgavin meyersExchange commissionOffice of fraud detectionEnforcement practice groupFirm gavinSecurities exchangeFinancial industry regulatory authorityFirm global financial services regulatorySecurities exchange actClient alerts

United States: Litigating against the Government

United States: Litigating against the Government
globalcompliancenews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from globalcompliancenews.com Daily Mail and Mail on Sunday newspapers.

United statesJeff martinoPeterkm chanAuthorpeter chanPaulr careyPeter chanJeffrey martinoAuthorjeffrey jeffd martinoAudit taskExchange commissionEnforcement divisionBaker mckenzieUs department of justiceDivision of enforcementFirm global cartel taskNorth american financial regulation

IAA Fears SEC s ESG Rules Could Lead to Client Confusion

While most advisor advocacy organizations support the intention of the rule, some want to see a "materiality" standard incorporated into the requirements.

United statesGail bernsteinAllan moskowitzAmy greerBaker mckenzieAndrew beharWilliam nelsonExchange commissionHealthy markets associationSierra clubInvestment adviser associationFinancial markets associationCounsel gail bernsteinAssociate general counsel william nelsonNorth american financial regulationEnforcement practice

SEC ESG Rule Could Cause More Disclosure For Some Advisors

The SEC's new proposed rule for strengthened ESG disclosures for funds and advisors could mandate heavier disclosure lifts for RIAs.

United statesAmy greerJennifer klassGary genslerHester peirceBaker mckenzieDan bernsteinExchange commissionEnforcement divisionNorth american financial regulationEnforcement practiceCommissioner hester peirceFinancial regulationInvestment adviser

United States: SEC requests comment on broker-dealer and investment adviser digital engagement practices

United States: SEC requests comment on broker-dealer and investment adviser digital engagement practices
globalcompliancenews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from globalcompliancenews.com Daily Mail and Mail on Sunday newspapers.

United statesAuthoramy greerJennifer connorsAuthorjennifer klassRaymond jamesAuthorgavin meyersA valerie mirkoAuthorjennifer connorsValerie mirkoGavin meyersJenniferl klassMerrill lynchDc bar corporationGeorge washington university law schoolOffice of fraud detectionOppenheimer co inc