Climate and environmental, social, and governance topics continue to gain prevalence in capital markets, especially with evolving regulatory expectations.
The SEC released a statement pertaining to funds investing in Bitcoin futures. Market participants have pushed for cryptocurrency ETFs in recent years.
An exempt reporting adviser (“ERA”) and related private fund were recently investigated by the SEC for a variety of securities laws violations.
Last month, the Securities and Exchange Commission announced Chairman Gary Gensler appointed Alex Oh to be Director of the Division of Enforcement.
Special-purpose acquisition companies, or SPACs, have recently surged in popularity and the Securities and Exchange Commission is paying attention.
The SEC clarified there is no need to report a remote home office on Form ADV if part of a firm’s pandemic response and business continuity plan.
Recently, the U.S. SEC released a Risk Alert outlining specific compliance concerns associated with environmental, social, and governance (ESG) investing.
Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.
Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities […]
Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.
