- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Aaron Nicodemus2022-06-02T22:29:00
Investment advisers and companies worry a recently proposed rule by the SEC that would require enhanced disclosures about funds that claim ESG strategies drive investment choices would have “substantial impact” without providing useful information to investors.
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2022-11-23T14:02:00Z By Kyle Brasseur
Goldman Sachs Asset Management agreed to pay $4 million to settle SEC charges it failed to follow its own policies and procedures regarding a trio of investment products marketed for their environmental, social, and governance considerations.
2022-06-23T22:08:00Z By Aaron Nicodemus
Final action by the Securities and Exchange Commission on its climate-related disclosure rule, whistleblower amendments, unimplemented elements of Dodd-Frank, and more could all take place by the end of the year, according to the agency’s spring agenda.
2022-06-03T13:44:00Z By Kyle Brasseur
The Commodity Futures Trading Commission is seeking public comment on climate-related financial risks that could inform the agency’s future guidance, interpretations, policy statements, and/or rulemaking.
2025-04-15T16:02:00Z By Adrianne Appel
A small band of Senate Democrats is calling on the Trump administration to reinstate the cryptocurrency investigations unit at the Department of Justice (DOJ).
2025-04-14T12:00:00Z By Adrianne Appel
Any doubts that the new administration will take a light touch to upcoming cryptocurrency regulation vanished with President Donald Trump’s launch of his own stablecoin and his family’s growing investments in crypto businesses.
2025-04-11T16:32:00Z By Adrianne Appel
Banks alerted authorities to $1.4 billion in suspicious transactions in 2024, a big assist in the nation’s fight against crime and fentanyl trafficking, according to the Financial Crimes Enforcement Network.
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