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SEC Steps Up ESG Enforcement and Issues Proposed Rule on Diligence and Disclosure for ESG and Impact Funds

USA - June 3 2022 The Securities and Exchange Commission ("ESG") continues to focus on Environmental, Social, and Governance ("ESG") as an area of enforcement priority…

Alicja Biskupska-Haas, Chris Bowman, Tracie Ingrasin, Eric Rothenberg, John Rousakis

SEC Plans for Busy 2022 and 2023 Spurred by Significant Increase in Tips, Complaints, and Referrals

USA - May 31 2022 The SEC is on the march. From requesting ramped up budgets and enhanced staffing to newly announced priorities, the SEC has made clear that it is…

Danny S. Ashby, Daniel Bookin, Jim Bowman, Sharon M. Bunzel, Jorge deNeve, Michael R. Dreeben, Ross B. Galin, Mia N. Gonzalez, David L. Kirman, Bill Martin, Steven J. Olson, Jamie Quinn, Mark A. Racanelli, Benjamin D. Singer, Damali A. Taylor

SEC Sues Mining Company Based on ESG Disclosures

USA - May 4 2022 Last Thursday, the U.S. Securities and Exchange Commission (SEC) charged Vale S.A., a Brazilian mining company and one of the world’s largest iron…

Chris Bowman, Eric Rothenberg, John Rousakis

New SEC Chairman Gary Gensler: Implications for Digital Assets and Blockchain Technology

USA - April 16 2021 On April 14, 2021, the Senate confirmed Gary Gensler to be the next Chairman of the Securities and Exchange Commission. Chairman Gensler assumes…

David Cohen, Kayla Haran, Bill Martin, Eric Sibbitt

SEC and FINRA Signal Enhanced Oversight of Online Trading Platforms

USA - March 23 2021 Earlier this month, the Securities and Exchange Commission (SEC) announced its examination priorities for 2021.1 SEC Examiners will focus on, among…

Nicole Argentieri, Jorge deNeve, Mia N. Gonzalez, Steven J. Olson, Jamie Quinn, Emma Tehrani