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SEC 2021 National Exam Program Examination Priorities - Corporate/Commercial Law

To print this article, all you need is to be registered or login on Mondaq.com. On March 3, 2021, the Securities and Exchange Commission s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination priorities. Notably, while the majority of the examination priorities echo OCIE priorities from prior years, this year s EXAMS priorities include a greater focus on climate-related risk and environmental, social, and governance (ESG) matters. This is consistent with the Commission s increased emphasis on ESG matters in other contexts, as well as that of other regulators. This year s priorities also include examinations relating to Regulation Best

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Colorado Division of Securities invites Coloradans to live stream the virtual event Investing: What s New & What s Not on April 23, 2021 at 11:00am

Colorado Division of Securities invites Coloradans to live stream the virtual event “Investing: What’s New & What’s Not” on April 23, 2021 at 11:00am Colorado Division of Securities invites Coloradans to live stream the virtual event “Investing: What’s New & What’s Not” on April 23, 2021 at 11:00am Monday, April 19, 2021 Hide Featured Image true Denver (CO) – April 19, 2021 The Colorado Division of Securities (the “Division”) part of the Colorado Department of Regulatory Agencies is partnering with the Investor Protection Trust and PBS Books to produce “Investing: What’s New & What’s Not” virtual event to livestream on the Department’s Facebook page on Friday, April 23, 2021, at 11:00 a.m. MT.

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SEC warns public against five entities with unauthorized investment offers

BusinessWorld May 10, 2021 | 12:05 am Keren Concepcion G. Valmonte THE Securities and Exchange Commission (SEC) has flagged five entities in the first week of May for offering unlicensed investment programs to the public. Hedge Trading, Coco-J Funds Corp., and Coco-J Funds Digital Marketing Services are all not registered with the commission either as a corporation or as a partnership. The three entities also do not have licenses to sell securities or collect investments. Jonas Lapada-led Hedge Trading promises a 30% return in 15 days for every P500 minimum investment. The scheme also gives a direct referral fee of 10%, a pairing bonus, and a “unilevel” bonus.

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DDV begrüßt eWpG Verabschiedung im Bundestag

DDV begrüßt eWpG Verabschiedung im Bundestag
verbaende.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from verbaende.com Daily Mail and Mail on Sunday newspapers.

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Bundesregierung warnt Anleger vor Risiken bei Spacs, will aber nicht weiter regulieren

Bundesregierung warnt Anleger vor Risiken bei Spacs, will aber nicht weiter regulieren
msn.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from msn.com Daily Mail and Mail on Sunday newspapers.

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