by Patomak Global Partners | Oct 19, 2021 | U.S. Regulatory Update
19 October 2021 General White House Publishes Report on Climate-Related Financial Risk On 14 October, the White House released a report titled “A Roadmap to Build a Climate-Resilient Economy.” The White House press release explained that the report lays out a...
by Patomak Global Partners | Oct 13, 2021 | U.S. Regulatory Update
13 October 2021 SEC & Securities SEC Division of Enforcement Director Speaks About Enforcement Issues On 6 October, the Securities and Exchange Commission’s (“SEC”) Division of Enforcement Director Gurbir Grewal spoke at a broker/dealer conference regarding a...
by Patomak Global Partners | Oct 6, 2021 | U.S. Regulatory Update
6 October 2021 SEC & Securities SEC Issues Proposed Rule Regarding Disclosure by Investment Funds On 29 September, the Securities and Exchange Commission (“SEC”) proposed amendments (here and here) to Form N-PX to “enhance the information mutual funds,...
by Patomak Global Partners | Sep 28, 2021 | U.S. Regulatory Update
SEC & Securities SEC Reportedly Asks Dozens of Companies for More Climate Disclosures On 22 September, The Wall Street Journal reported that the Securities and Exchange Commission (“SEC”) “has sent letters to dozens of companies asking them to provide more...
by Patomak Global Partners | Sep 21, 2021 | U.S. Regulatory Update
Highlights SEC Chair Gensler Responds to Senate Banking Committee Member Questions in Hearing On 14 September, the U.S. Senate (“Senate”) Committee on Banking, Housing, and Urban Affairs (“Senate Banking Committee”) held a hearing titled “Oversight of the U.S....
by Patomak Global Partners | Sep 14, 2021 | U.S. Regulatory Update
Highlights SEC Warns Coinbase Against Launching New Digital Asset Lending Product On 8 September, the Financial Times reported that the Securities and Exchange Commission (“SEC”) “has warned that it will sue Coinbase if it launches a new digital asset lending product,...
