Tag: SEC

The contemporary regulatory environment has ushered in an era where the financial penalties and reputational damage of regulatory fines are intolerable for firms. The 2023 Starling Compendium emphasises that firms must instate processes to deter misconduct before it even occurs.

After over a year of deliberations, the US SEC has finally adopted the proposed rules for enhanced cyber disclosures.

The SEC has recently enforced new rules requiring registered entities to divulge significant cyber incidents.

US Republicans have unveiled a slew of legislation aimed at curbing the influence of ESG initiatives on financial and capital markets.

Netcapital, a distinguished player in the digital private capital markets ecosystem, has made an important announcement today.

In a recent post, RegTech firm Eventus outlined key reasons why practitioners must be the key drivers behind trade compliance. 

In a recent post by Diligent, the company outlined some key details surrounding the International Sustainability Standards Board (ISSB).

Position Green's Managing Director in the USA, Jason Stanley, has shed light on the intricate details of the US Securities and Exchange Commission's (SEC) newly proposed climate disclosure rule, explaining its far-reaching implications on US and foreign private issuers.

Netcapital, a digital private capital markets ecosystem listed on Nasdaq as NCPL and NCPLW, has entered into definitive agreements to offer an aggregate of 1.1m shares of its common stock at $1.55 per share.

eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.