Tom Sporkin Managing Director, Enforcement
Tom Sporkin serves as Managing Director, Enforcement at CFP Board, the professional body for personal financial planners in the U.S. He leads a team of attorneys and legal staff in the detection, investigation and prosecution activities. Tom possesses decades of experience in enforcement and regulatory compliance, including 20 years in the SEC’s Division of Enforcement where he served in various leadership roles including co-managing the Office of Internet Enforcement, and, in the aftermath of the financial crisis, establishing and managing the Office of Market Intelligence, which included the Office of Market Surveillance and the SEC’s Whistleblower program.
SEC: ICO Listing Website Charged With Unlawfully Touting Digital Asset Securities mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.
<p><span>The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 55 soliciting entities, four (4) impersonators of genuine firms, and five (5) bogus regulators.</span></p>
Other Voices: The SEC gets tough on ESG funds Thursday, April 22, 2021
By:Kaela Colwell, Kelley Howes
On April 9, 2021, the SEC s Division of Examinations (EXAMS) published a Risk Alert summarizing its observations from recent examinations of investment advisers, registered investment companies, and private funds engaged in ESG investing. The Risk Alert is the latest in a series of announcements from the regulator that demonstrate its focus on investor protection in connection with climate and ESG investing.
On March 4, 2021, the SEC announced the launch of the Climate and ESG Task Force within the Division of Enforcement. The task force is led by Kelly L. Gibson, Acting Deputy Director of Enforcement, and is comprised of 22 members from the Enforcement Division s specialized units, the SEC s headquarters, and its regional offices.
To print this article, all you need is to be registered or login on Mondaq.com.
On April 9, 2021, the SEC s Division of Examinations
(“EXAMS”) published a Risk
Alert summarizing its observations from recent
examinations of investment advisers, registered investment
companies, and private funds engaged in ESG
investing.
1 The Risk Alert is the latest in a
series of announcements from the regulator that demonstrate its
focus on investor protection in connection with climate and ESG
investing.
On March 4, 2021, the SEC announced the launch of the Climate
and ESG Task Force within the Division of Enforcement. The task
force is led by Kelly L. Gibson, Acting Deputy Director of