Tag: SEC

A lawsuit has been initiated by a coalition of ten Republican-led states against the U.S. SEC newly adopted climate-related disclosure rules.

In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again...

The U.S. SEC recently made headlines by settling charges with 16 prominent investment advisers and broker-dealers.

The U.S. Securities and Exchange Commission (SEC) introduced a significant regulatory update on August 24, 2023, impacting private fund advisers through the adoption of the Private Fund Adviser Rules. This regulatory shift comprises several key components aimed at enhancing transparency and safeguarding investor interests. Among these, the Adviser-led Secondaries Rule and the Annual Fund Audits Rule stand out for their direct impact on fund management practices, accompanied by the amendment to the compliance review documentation requirements.

On the 6th of February, 2024, the Securities and Exchange Commission’s (SEC) Division of Investment Management unveiled a new Frequently Asked Question (FAQ) aimed at clarifying the obligations surrounding gross and net Internal Rates of Returns (IRR) in the private markets arena. ACA Global, a GRC solution developer, has offered some guidance highlights the SEC's commitment to ensuring transparency and comparability in performance reporting.

J.P. Morgan Securities LLC (JPMS), a subsidiary of J.P Morgan, has agreed to a significant $18m civil penalty in a settlement with the SEC.

In recent years, the management of Material Non-Public Information (MNPI) has emerged as a significant concern within the compliance sphere. Regulatory bodies in the...

In the ever-changing world of risk management, where the challenges are formidable and constantly evolving, the role of risk executives and their teams is more vital than ever. The cornerstone of this ecosystem, financial crimes compliance, requires not just vigilance but also a forward-thinking approach to innovation.

The US SEC has made significant clarifications regarding its new cyber incident disclosure rules, which came into effect yesterday.

Gary Gensler, the US SEC chair, has issued a warning about the implications for thousands of US firms in the absence of domestic climate reporting rules.