Investment advisers, broker-dealers, fund managers and other financial professionals could be impacted in 2025 by the U.S. Securities and Exchange Commission’s (SEC) continued focus on upcoming examinations, presenting a...more
It’s Annual Reporting season again for most public companies. The Securities and Exchange Commission (SEC) has released numerous new disclosure obligations for the upcoming filing period. Companies should take the time to...more
2/14/2024
/ Artificial Intelligence ,
Clawbacks ,
Coronavirus/COVID-19 ,
Cybersecurity ,
Disclosure Requirements ,
Executive Compensation ,
Form 10-K ,
Insider Trading ,
Nasdaq ,
NYSE ,
Proxy Statements ,
Regulation S-K ,
Risk Management ,
Securities and Exchange Commission (SEC)
Investment advisers, broker-dealers, fund managers and other financial professionals could be impacted in 2024 by the U.S. Securities and Exchange Commission’s (SEC) continued focus on upcoming examinations. The SEC unveiled...more
1/10/2024
/ Advisors Act ,
Anti-Money Laundering ,
Broker-Dealer ,
Client Assets ,
Cryptocurrency ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
ETFs ,
Investment Adviser ,
Portfolio Managers ,
Private Funds ,
Regulation Best Interest ,
REIT ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)