The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2023 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more
2/16/2023
/ Conflicts of Interest ,
Environmental Social & Governance (ESG) ,
Fair Valuation ,
Fraud ,
Information Security ,
Investment Adviser ,
Investment Companies ,
Retail Investors ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
On May 25, the US Securities and Exchange Commission (SEC) proposed amendments to enhance and modernize Section 35(d) of the Investment Company Act, known as the “Names Rule,” to provide protection to investors.[1] In a press...more
Many investment funds, advisors, and companies have been working to incorporate environmental, social, and governance (ESG) factors into their investment practices, but the US Securities and Exchange Commission (SEC) has...more