Stephanie M. Monaco
Mayer Brown
Articles
SEC Request for Comment on “Information Providers”
USA - June 24 2022 On June 15, 2022, the Securities and Exchange Commission (the "SEC") issued a request for comment to "help determine which `information providers,'…
Bradley Berman, Adam D. Kanter, Marla L. Matusic, Anna T. Pinedo
US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities
USA - April 14 2022 On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its…
Leslie S. Cruz, Steffen Hemmerich, Adam D. Kanter, Wonji L. Kim, Peter M. McCamman, Anna T. Pinedo, Stephen Vogt
SEC Examinations Division Issues Risk Alert on ESG Products and Services
USA - April 13 2021 On April 9, 2021, the Division of Examinations of the US Securities and Exchange Commission ("Division" or "staff") issued a risk alert to highlight…
SEC’s Division of Examinations 2021 Exam Priorities - Investment Advisers and Investment Companies
USA - March 12 2021 On March 3, 2021, the Division of Examinations of the US Securities and Exchange Commission (the "Examinations Division" and "SEC," respectively)…
SEC Examinations Division Issues Risk Alert Regarding Digital Assets
USA - March 1 2021 On February 26, 2021, the Division of Examinations ("Division") of the US Securities and Exchange Commission ("SEC") published a risk alert regarding…
