By Aaron Nicodemus2022-12-08T13:00:00
The Securities and Exchange Commission (SEC) has a historically ambitious list of new rules under consideration heading into 2023.
Proposals regarding climate-related disclosures; cybersecurity breach notifications; and environmental, social, and governance (ESG) claims by investment advisers remain unfinalized. SEC Chair Gary Gensler, who has been outspoken in his belief most cryptocurrencies are likely securities, will bring his expertise on the subject to the table as Congress and other regulators seek to determine how to oversee the turbulent industry.
Meanwhile, a variety of factors—including legal challenges to controversial rules and a Republican takeover of the House—could place significant roadblocks in the way of the SEC’s agenda.
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.
2022-11-04T18:29:00Z By Aaron Nicodemus
The 18-month probationary period for the new Securities and Exchange Commission marketing rule for investment advisers has expired and compliance with the rule is now mandatory.
2022-07-18T12:45:00Z By Aaron Nicodemus
Respondents to a Compliance Week/CohnReznick survey assessing readiness for the SEC’s climate-related disclosure mandate aren’t waiting to see how the proposed rule plays out before getting their compliance house in order.
2025-09-15T16:47:00Z By Ruth Prickett
You can already buy a coffee with your phone, but soon you could start a job or buy a house with it. Digital compliance wallets holding certificates and documents on smartphones are gaining traction worldwide.
2025-09-10T23:26:00Z By Ruth Prickett
Delays to the U.K.’s Audit Reform and Corporate Governance Bill and creation of the ARGA regulator have sparked criticism. On Sept. 8, 66 MPs sent a letter to the Prime Minister urging reforms be returned to the Parliamentary agenda.
2025-09-08T05:00:00Z By Oscar Gonzalez
The FTC officially withdrew its appeal in a federal court case over its ban on employer noncompete clauses that it passed last year. The agency, however, says it wants public input regarding the effects of employer noncompete agreements.
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