Stephanie M. Monaco

Mayer Brown

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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…

Leslie S. Cruz

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)…

Leslie S. Cruz, Adam D. Kanter, Peter M. McCamman

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…

Leslie S. Cruz