Page 6 - Ethics Rule News Today : Breaking News, Live Updates & Top Stories | Vimarsana

Contempt and refer back. they could say that they should be held in civil contempt and make that reference. but my understanding is the more likely if any or none of these five sitting republican congressmen do not comply with this committee's request, they could take more administrative punishment and they have tools like first and foremost, the ethics committee. if you're a sitting member of congress, you are still susceptible to the rules governed by the body of the house inside the ethics committee and by not complying with the committee subpoena that presumably would violate an ethics rul...

The Securities and Exchange Commission SEC announced public comment period extension on proposed rulemaking to standardize climate-related investor disclosures, enhance private fund investor protection, include Treasury market platforms in Regulation ATS.

Insider trading is a front-and-center issue for the SEC, and consequently must be for financial services firms as well. The SEC included misuse of material non-public information (MNPI)...

Renewed SEC focus on insider trading, MNPI, related internal controls may be a Top Ten Regulatory and Litigation Risks for Private Funds in 2022. Last week, SEC Division of Examinations issued risk alert on Investment Adviser Material Non-Public Information Compliance Issues

Last month, we predicted that a renewed focus by the SEC on insider trading, MNPI and related internal controls would be one of the Top Ten Regulatory and Litigation Risks for Private...