On March 17, 2022, FINRA issued Regulatory Notice 22-10 (“Notice”), which reminds FINRA member firms and their associated persons of the scope of supervisory liability for Chief Compliance Officers (“CCO”). The Notice...more
On March 30, 2022, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations released its exam priorities for fiscal year 2022 (the “2022 Priorities”). As in years past, these exam priorities naturally...more
4/7/2022
/ Compliance ,
Cryptoassets ,
Data Security ,
Emerging Technologies ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Financial Institutions ,
Form CRS ,
Private Funds ,
Regulation BI ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Security Risk Assessments
On March 21, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a proposed rule (the “Proposed Rule”) that will require registrants to make certain climate disclosures in their registration statements and...more
3/30/2022
/ Climate Change ,
Comment Period ,
Compliance ,
Disclosure Requirements ,
Filing Requirements ,
Financial Institutions ,
Form 10-K ,
Greenhouse Gas Emissions ,
Investors ,
Proposed Rules ,
Public Comment ,
Regulation S-K ,
Regulation S-X ,
Securities and Exchange Commission (SEC)