Home Regulatory & Compliance Analysis
Regulatory & Compliance Analysis
'Compliance and marketing teams are in a challenging spot...'
Global private equity firms are creating ESG committees to help better comply with the rule.
'Technical error' swallowed comment on 11 SEC, nine SRO proposals, regulators say.
With the November elections fast approaching, firms need to remind employees about the rules of donating to a political campaign.
Many fear ‘unintended consequences’ from proposed rules.
An ESG-focused US SEC could be good news for more than just compliance consultants.