The SEC's municipal advisor exam findings
Officials from multiple regulators came together on Thursday for a detailed discussion about municipal advisory regulation.
Source: bondbuyer.com
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Caution is key with conflicts of interest under MSRB Rule G-42
Erring on the side of caution and good documentation are key to managing conflicts of interest
Source: bondbuyer.com
SEC settles with San Diego school district and former CFO
The Securities and Exchange Commission settled with the Sweetwater Union High School District as well as former Chief Financial Officer Karen Michel.
Source: bondbuyer.com
ESG Will Continue to Grow Under Biden Administration
The SEC’s Division of Examinations is prioritizing exams of ESG-focused strategies, and will use the U.S.’s existing regulatory framework to review ESG-related disclosures.
Source: natlawreview.com
SEC Task force on ESG Accountability
Thursday, March 11, 2021 Last week, the U.S. Securities and Exchange Commission (SEC) announced the creation of a new 22-person Climate and Environmental, Social, and Governance (ESG) Task Force in its Division of Enforcement, a notable development in a series of recent steps taken by the Biden administration focused on increasing ESG accountability. The task force will use sophisticated data analytics to mine information across registrants and proactively identify potential ESG-related misconduct, including material gaps and misstatements in companies’ required disclosure of cl...
Source: natlawreview.com