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An RCW exclusive as we share a new SEC exam letter focused on ESG, a breakdown of the proposed PF audit rule, feedback on SPACs ...
The IAA suggested the public company rule should be finalized before the ESG proposal for advisers
SEC looking to determine whether index providers, model portfolio providers, and pricing services are acting as IAs under the Advisers Act
Jaime Lizarraga and Mark Uyeda have been confirmed by the U.S. which will bring the SEC to its full complement of five commissioners
A peer shares an SEC exam letter dedicated to ESG
Jill Grenda, managing director at Hardin Compliance Consulting outside Pittsburgh, kindly shares her BCP Checklist
"The Commission, however, must be cautious about using the settlement process to obtain voluntary compliance with requirements that it lacks statutory authority to impose"
"We can avoid creating regulatory rip currents by recalibrating our agenda to focus on issues core to the protection of investors and operation of our ...
Some individual information providers of the types we describe below have registered with the Commission as investment advisers (sometimes because of other business in which ...
We are proposing to require ESG-related disclosures from registered investment advisers that consider ESG factors as part of their advisory businesses
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