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Donald Thompson Litigation Lawyer Squire Patton Boggs

Donald Thompson is a litigaton attorney in Squire Patton Boggs Washington DC office who focuses his practice on complex commercial litigation matters and government investigations.

United statesDonald thompsonExchange commissionOffice of compliance inspectionsConsumer protection divisionEnforcement divisionAttorney officeInsider trading investigatorCompliance inspectionsState attorneySecond judicial circuitAttorney generalConsumer protectionஒன்றுபட்டது மாநிலங்களில்டொனால்ட் தாம்சன்பரிமாற்றம் தரகு

SEC Division of Examinations Issues Risk Alert Regarding ESG Investing | Dechert LLP

SEC Division of Examinations Issues Risk Alert Regarding ESG Investing | Dechert LLP
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SEC Reiterates Examination Focus On Firms Engaged In ESG Investing - Finance and Banking

SEC Reiterates Examination Focus On Firms Engaged In ESG Investing - Finance and Banking
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SEC Division Of Examinations Continues To Focus On Digital-Asset Securities - Technology

The U.S. Securities and Exchange Commission (SEC) Division of Examinations (Division 1) recently released a Risk Alert 2 highlighting its continued focus on digital assets 3 that are securities (Digital Asset Securities). The Division emphasized that the offer, sale, and trading of Digital Asset Securities present unique risks to investors and encouraged firms to consider the distinct features of distributed-ledger technology when designing their regulatory-compliance programs. The Risk Alert provides observations made by Division staff during recent examinations of industry participants that may assist firms in developing their compliance practices and policies. The Risk Alert also provides transparency about areas of focus for the Division s future

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SEC Division of Examinations 2021 Priorities

Monday, April 19, 2021 On March 3, 2021, the SEC’s Division of Examinations (formerly the Office of Compliance Inspections and Examinations (OCIE)) issued its examination priorities for 2021. In addition to broadly reiterating its continued focus on advisers’ fiduciary duties to their clients, the protection of retail investors and compliance with Regulation Best Interest and Form CRS; knowledgeable and empowered CCOs; conflicts of interest; environmental, social and governance (ESG) matters; and technology and cybersecurity in general, the Division also identified examination priorities that will be of particular interest to managers of both private and registered funds. Cybersecurity Matters Related to COVID-19 Cybersecurity matters will continue to be a focus, especially those that may be exacerbated by remote work arrangements caused by the COVID-19 pandemic, including with respect to data protection, oversight of vendors, phishing, mobile and remote application

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