Article 26 Nov 2024 Advisory Firm Pays $17.5M Civil Penalty To Settle SEC Charges For Making Misrepresentations Regarding ESG Considerations In Investment Decisions United States Environment
Article 03 Sep 2024 SEC Requires Registered Funds To Provide More Frequent Portfolio Transparency United States Finance
Article 28 May 2024 SEC Adopts Significant Cybersecurity Amendments To Regulation S-P United States Technology
Article 27 May 2024 SEC And FinCEN Propose Rule Requiring Investment Advisers To Enact Customer Identification Programs United States Commercial
Article 27 Mar 2024 SEC Takes Action Against 'AI Washing,' Fines Two Investment Advisers For Misrepresenting Artificial Intelligence Use Worldwide Technology
Article 27 Oct 2023 SEC Adopts Amendments To Rules Governing Beneficial Ownership Reporting United States Commercial
Article 02 Oct 2023 Investment Adviser Settles SEC Enforcement Action Concerning Alleged Misstatements Regarding ESG Investment Process United States Commercial
Article 09 Aug 2023 SEC Proposes Rules To Address Conflicts Of Interest In The Use Of AI By Investment Advisers And Broker-Dealers United States Technology
Article 30 Mar 2023 SEC Proposes Data Breach Notification And Incident Response Requirements United States Privacy
Article 31 Oct 2022 SEC Proposes Oversight Requirements For Services Outsourced By Investment Advisers United States Commercial
Article 31 Oct 2022 SEC Votes To Overhaul Mutual Fund And ETF Shareholder Reports United States Finance
Article 30 May 2022 SEC Proposes To Enhance Disclosures By Certain Funds And Advisers Regarding ESG Investment Practices United States Commercial