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Today on inside politics, republican candidates get busy bruising each other in a debate marked by insults, prepared oneliners and plenty of pettiness. Plus the speck call starts. Today is day one of the Impeachment Inquiry into joe biden. Republicans promise a show and tell. The democrats retort, wheres the evidence. And danger knocks, President Biden is in arizona to warn the country and rerevive a 2020 and 2022 Campaign Theme that democrats believe worked. That maga extremists are a singular threat to american democracy. Im dana bash. Lets go behind the headlines and ininside politics. Up first, A Chaotic Cross Talk filled debate that gave us more questions and more insults, but little clarity about who, if any, of these candidates can truly challenge ....
The Office of the Chief Accountant of the SEC's Division of Investment Management periodically issues "Dear Chief Financial Officer" letters to help registered investment companies. ....
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 ....
REGULATORY UPDATES SEC Leadership Changes On April 14, 2021, the U.S. Senate voted to approve President Biden’s nomination of Gary Gensler as Chairman of the Securities and Exchange Commission (the “SEC”) through June 5, 2021. The vote came after the Senate Banking Committee endorsed Gensler’s nomination in March 2021. The confirmation only approves Gensler to serve the remainder of former SEC Chairman Jay Clayton’s term, though the Senate Banking Committee has cleared Gensler to serve another five-year term afterward. Gensler served as chairman of the U.S. Commodity Futures Trading Commission from 2009 to 2014, and helped to draft the Sarbanes-Oxley Act as senior advisor to U.S. Senator Paul Sarbanes. In a statement, the SEC’s four commissioners said they welcome Gensler “and look forward to working together to execute our vital mission.” ....
Friday, April 9, 2021 SEC Announces 2021 Examination Priorities The SEC’s Division of Examinations (Division), formerly known as the Office of Compliance Inspections and Examinations (OCIE), released its 2021 examination priorities. In its release, the Division noted that it completed over 2,952 examinations in 2020 and issued more than 2,000 deficiency letters. Approximately 15% of all registered investment advisers were examined during 2020 and the Division completed more than 100 examinations of investment companies. The Division also conducted hundreds of outreach calls to investment companies and advisers to assess market impacts of the COVID-19 pandemic. The 2021 priorities are grouped into the following categories, each of which is described below in more detail: ....