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The SEC’s 2022 FY doesn’t begin until October but the Commission’s Investor Advocate is already laying out his objectives. They include ESG disclosures, SPACs, broker ...
This enforcement action misapplies the statutory definition of “broker,” further muddies an already confusing landscape created by prior staff no-action letters issued to firms engaged ...
To effectively address climate and ESG risks, boards need adequate expertise on these subjects. Investors are increasingly emphasizing their expectation on this point
Sideletter
"[W]e have to be mindful that asset managers’ interests are not necessarily the same as those of true investors .... the SEC’s regulatory role should be limited ...
The SEC isn’t immune to the social ills that plague the outside world, as confirmed by the Commission’s Office of Inspector General
The new agenda lists 49 items, many targeting investment advisers. Some are holdovers, but many are new
"We are disappointed that the Commission would dedicate our scarce resources to rehashing newly completed rules"
"I believe BSBY has many of the same flaws as LIBOR. Both benchmarks are based upon unsecured, term, bank-to-bank lending .... That’s why I believe ...
"The events brought particular focus to prime money market funds, and their interrelationship with investments in commercial paper and certificates of deposit. CP and CD ...
"It’s interesting to note that the United Kingdom, Canada, and Australia don’t allow broker-dealers to route retail orders to wholesalers in return for payments .... Again, it’s best ...
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