On March 27, the US Securities and Exchange Commission (SEC) announced that it will no longer defend Biden-era regulations requiring large corporations to disclose the impacts of climate change on their businesses. This...more
StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them....more
2/28/2025
/ Broker-Dealer ,
Enforcement Actions ,
Financial Services Industry ,
Fraud ,
Penalties ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Securities Violations ,
Settlement
On December 11, 2024, the US Court of Appeals for the Fifth Circuit ruled that the Securities and Exchange Commission (SEC) lacked statutory authority to approve Nasdaq’s board diversity rules. Subject to certain exceptions,...more
1/27/2025
/ Appeals ,
Board of Directors ,
Corporate Governance ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Nasdaq ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Statutory Interpretation
The US Securities and Exchange Commission (SEC) recently released its priorities for 2025. As in recent years, the SEC is focusing on fiduciary duties and the development of compliance programs as well as emerging risk areas...more
1/14/2025
/ Artificial Intelligence ,
Compliance ,
Cybersecurity ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Private Funds ,
Regulatory Agenda ,
Risk Management ,
Securities and Exchange Commission (SEC)
On August 28, the Financial Crimes Enforcement Network (FinCEN) issued a final rule establishing anti-money laundering and countering the financing of terrorism (AML/CFT) compliance obligations for US Securities and Exchange...more
11/4/2024
/ AML/CFT ,
Anti-Money Laundering ,
Audits ,
Bank Secrecy Act ,
Compliance ,
Due Diligence ,
Employee Training ,
Exempt Reporting Advisers (ERAs) ,
Final Rules ,
Financial Institutions ,
FinCEN ,
Internal Controls ,
Investment Adviser ,
Policies and Procedures ,
Popular ,
Risk Assessment ,
Securities and Exchange Commission (SEC)