National Society of Compliance Professionals Releases CCO Liability Framework
The framework looks to clarify the role of CCOs when determining their personal responsibility for a firm’s potential compliance failures
January 18, 2022
IAA Supports SEC Proxy Advice Proposal, Requests Rescission of Guidance for IAs
The IAA recently submitted a comment letter in response to the SEC’s proposed amendments to its regulations regarding proxy voting advice provided by proxy advisory firms.
January 05, 2022
Tags: Proxy Voting, SEC
SEC, ECB Sign Agreement for Oversight of Security-Based Swap Dealers
In their first Memorandum of Understanding (MOU), the SEC and the European Central Bank (ECB) have agreed to cooperate and exchange information related to the supervision, enforcement, oversight, and cross-border...
August 17, 2021
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine?
The past year has seen a significant increase in the U.S. Securities and Exchange Commission’s (SEC’s) focus on environmental, social, and governance (ESG) issues.
June 30, 2021
Tags: ESG, Examinations, SEC
Director of SEC’s Chicago Regional Office Leaving SEC
Joel R. Levin, Director of the SEC’s Chicago Regional Office, will leave the SEC at the end of May. Levin joined the SEC to serve as Director in May 2018...
April 27, 2021
Tags: SEC
SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas
SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas July 14, 2020 Federal agencies recently released the spring 2020 update to their regulatory agendas. Each agency’s agenda is...
July 14, 2020
Tags: CFTC, DOL, FinCEN, Regulatory Agendas, SEC
SEC Proposes to Substantially Reduce Form 13F Reporting by Increasing Threshold
SEC Proposes to Substantially Reduce Form 13F Reporting by Increasing Threshold July 13, 2020 The SEC is proposing to raise the Form 13F reporting threshold for institutional investment managers...
July 13, 2020
Tags: Allison Herren Lee, Form 13F, SEC
SEC Creates COVID-19 Market Monitoring Group
SEC Creates COVID-19 Market Monitoring Group April 27, 2020 The SEC has formed an internal, cross-divisional COVID-19 Market Monitoring Group to assist agency officials with actions and analyses related...
April 27, 2020
Tags: Coronavirus, SEC
New SEC, CFTC Staff Guidance on Coronavirus-Related Issues
New SEC, CFTC Staff Guidance on Coronavirus-Related Issues March 17, 2020 As the coronavirus continues to cause unprecedented challenges, the IAA has aggregated several breaking regulatory updates to keep...
March 14, 2020
Tags: CFTC, Coronavirus, COVID-19, SEC
SEC Names New Head of Philadelphia Regional Office
SEC Names New Head of Philadelphia Regional Office March 11, 2020 The SEC announced that Kelly L. Gibson has been named director of the SEC’s Philadelphia Regional Office. She...
March 11, 2020
Tags: SEC