Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more
6/26/2024
/ Artificial Intelligence ,
Canada ,
CFTC ,
Corporate Social Responsibility ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
EU ,
PFAS ,
Securities and Exchange Commission (SEC) ,
Sustainability ,
Tax Credits
On October 30, 2023, the US Securities and Exchange Commission (SEC or Commission) sued SolarWinds and its Chief Information Security Officer (CISO) for fraud, false reporting, and internal and disclosure control violations...more
In the May edition of Capital Markets Compass, we examine how innovative offering structures are providing access to capital despite significant market challenges. We analyze recent SEC comment letters focusing on climate and...more
Any doubts about the commitment of the Securities and Exchange Commission (SEC or Commission) to environmental and social governance (ESG) disappeared in recent months, as its Division of Corporation Finance (DCF) slammed the...more
SEC Announces Inspection Priorities for 2023 -
On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15...more
2/22/2023
/ Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fund Managers ,
Investment Adviser ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Whistleblowers