தேர்வு ப்ரையாரிடீஸ் News Today : Breaking News, Live Updates & Top Stories | Vimarsana

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Investors And Regulators Turning Up The Heat On Climate-Change Disclosures: Attempting To Make Sense Of The State Of Play In The US, EU, And UK - Corporate/Commercial Law

As investors' calls for greater climate-related corporate accountability grow louder, the "E" in ESG—environmental, social and governance—looms larger than ever, particularly from the perspective of. ....

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FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. To Pay $8.4 Million In Restitution To Customers For Supervisory Failures Involving Unit Investment Trusts

FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. To Pay $8.4 Million In Restitution To Customers For Supervisory Failures Involving Unit Investment Trusts
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SEC Annual Examination Priorities for RIAs | Miller Canfield

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Last month, the SEC Division of Examinations (the Division ; formerly the Office of Compliance Inspections and Examinations ) released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are advised to review the whole report, which can be found
here. Financial advisers registered with the SEC should expect 2021 examinations to focus on the following areas:
Standards of Conduct: The Division will assess whether RIAs have fulfilled their fiduciary duty comprised of the duty of loyalty and duty of care to their client. RIAs should also expect continued examination of their Form CRS, including a focus on readability for clients and timely submission. ....

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SEC And CFTC Enforcement Priorities Under The New Administration - Corporate/Commercial Law

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The Biden Administration has moved quickly to nominate new
leadership at the Securities and Exchange Commission
( SEC or Commission ). President Biden, in a
move that provides insight into his priorities and the approach his
administration will pursue with regard to regulatory action, has
nominated former Commodity Futures Trading Commission
( CFTC ) Chairman Gary Gensler to lead the SEC. Mr.
Gensler, who led the CFTC during the Obama Administration in the
aftermath of the 2008 financial crisis, is expected to take a
tougher stance toward Wall Street than the prior administration ....

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SEC Enforcement in 2021: A Look Ahead | Foley Hoag LLP - White Collar Law & Investigations

SEC Enforcement in 2021: A Look Ahead | Foley Hoag LLP - White Collar Law & Investigations
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