Browsing: Regulatory
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Back to the Drawing Board for SEC Climate Disclosure?
06/21/2022
Pity the poor SEC staffers that must slog through the 14,000 comment letters received in response to its draft rules on climate change disclosure. The comment period ended last Friday ...
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Investigative Research Firm Blue Heron Research Adds More Compliance
06/10/2022
Due diligence specialist Blue Heron Research Partners, now the largest investigative research firm focused on the buy-side, hired a former SEC Enforcement attorney as a supplement to the firm’s current ...
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SEC Plans to Mandate New Disclosures for ESG Funds
05/26/2022
Yesterday, the SEC voted 3 to 1 to propose new rules requiring investment funds that market themselves as “ESG” must provide standardized data backing up their marketing claims. Additionally, the ...
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SEC Extends Comment Period for Proposed Climate Change Disclosure
05/20/2022
Under pressure from opponents of new rules requiring US public companies to disclose climate change data, the US Securities and Exchange Commission extended the deadline for comments by four weeks, ...
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Does Alternative Data Really Carry Insider Trading Risk?
05/05/2022
The U.S. Securities and Exchange Commission’s Division of Examinations recently warned US investment advisers that it was finding deficiencies in their compliance processes relating to material non-public information (MNPI) associated ...
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SEC’s Proposed Climate Change Disclosure Still Faces Hurdles
04/26/2022
New rules requiring US public companies to disclose climate change data face challenges that will test the Securities and Exchange Commission’s commitment to climate reporting. Comments on the draft regulation ...
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Ninth Circuit Rules (Again) in Favor of Web Scraping But LinkedIn Will Keep Litigating
04/22/2022
The San Francisco-based Ninth Circuit Court of Appeals concluded that the Computer Fraud and Abuse Act (CFAA), a federal anti-hacking law that bars unauthorized access to computer systems, does not ...
Castine Adds ESG Tracker to Compliance Wheelhouse
02/28/2022
Castine, a New Jersey-based provider of cloud-based commission, trade and compensation reporting, and compliance management solutions, recently announced the release of ESG Tracker to help investment managers track all ESG ...
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The Next Wave of MiFID is ESG
02/16/2022
New MiFID regulation requiring the incorporation of clients’ sustainability preferences into suitability requirements will go into effect this summer, as part of the vast new European ESG regulations. The new ...
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Fireside Chat: Compliance Best Practices for App Usage Data
02/14/2022
This Thursday, February 17th, 2022 at 11:00 am, Integrity Research Associates will host the next in its series of live ResearchInsights webinars and fireside chats featuring Jonathan Kay, the CEO ...