Tag: SEC

In a recent post, RegTech firm Eventus outlined key reasons why practitioners must be the key drivers behind trade compliance. 

Position Green's Managing Director in the USA, Jason Stanley, has shed light on the intricate details of the US Securities and Exchange Commission's (SEC) newly proposed climate disclosure rule, explaining its far-reaching implications on US and foreign private issuers.

eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.

The SEC has proposed new requirements to a number of key industry stakeholders to address cybersecurity risks.

Gary Gensler, the chair of the US SEC, has said the SEC is considering adjusting its climate risk disclosure rules for public firms.

The US Securities and Exchange Commission (SEC) has revealed that ESG investing will be a key focus in its Division of Examinations in 2023.

The Securities and Exchange Commission has charged Nexo with failing to register the offer and sale of its retail crypro asset product the Earn Interest Product.

The SEC has charged Genesis and Gemini for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program.

The Securities and Exchange Commission (SEC) has charged Goldman Sachs Asset Management for false advertisement of funds and account strategies. 

The Securities and Exchange Commission (SEC) has settled charges against Koppers Holdings for failure to disclose material information.