Complex Products, Including Crypto, Highlighted in SEC Exam Priorities
Variable annuities, certain REITs and private holdings were other examples listed in the notice.
Source: ai-cio.com
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Is It Time for an ERISA Reboot?
Many industry experts believe there is a need for an ‘ERISA 2.0’ that includes a stronger framework for universal coverage, lifetime income, defaults and more.
Source: plansponsor.com
SEC Adopts Amendments Modernizing Beneficial Ownership Reporting | K&L Gates LLP
On 10 October 2023, the US Securities and Exchange Commission (SEC) announced it had adopted rule amendments to require market participants to provide more timely information on their...
Source: jdsupra.com
FDA Issues Guidance on Informed Consent for IRBs, Clinical Investigators, and Sponsors | K&L Gates LLP
In this episode, Alexa Sengupta and Cindy Ortega Ramos analyze the FDA’s latest guidance on informed consent regulations for clinical investigations. They discuss the basic elements of...
Source: jdsupra.com
Recent Settlements Provide Insight on the SEC's Approach to Self-Reporting and Cooperation Credit in Enforcement Actions | K&L Gates LLP
Introduction - A perennial message from the Securities and Exchange Commission (SEC) Division of Enforcement is to extol the benefits of cooperation with enforcement investigations. The...
Source: jdsupra.com