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Regulation

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Regulation
SEC levies $100 million fine against EY over cheating on ethics exams

The SEC fined Ernst & Young $100 million for ethics violations, the biggest penalty imposed by SEC against an auditing firm.

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Regulation
BlackRock offers feedback to SEC on climate-risk disclosure proposal

BlackRock said it supports climate-risk mandates but is concerned the SEC's proposed rules will undermine the regulator's goals.

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Regulation
SEC seeks comment on activities of 'information providers'

The SEC is seeking feedback on whether certain "information providers" are really acting as "investment advisers."

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Regulation
Energy Capital Partners settles SEC charges over undisclosed expenses

Energy Capital Partners agreed to settle SEC charges that it allocated undisclosed, disproportionate expenses to a private equity fund.

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Regulation
SEC weighs sending retail stock orders to auctions for execution

The SEC is considering changes to stock market rules that could force trading firms to directly compete to execute trades from retail investors.

Christian Schultz
Regulation
Anti-greenwashing proposals get mixed review

A new proposal from the SEC would add new ESG-related disclosure requirements for fund managers and investment advisers.

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Regulation
Gensler discusses SEC agenda, climate disclosure proposal at ICI summit

The U.S. has the best capital markets and new rule proposals are needed to maintain that distinction, SEC Chairman Gary Gensler said.

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Regulation
U.S. official warns significant issues remain on China audit talks

An SEC official said several hurdles remain in an impasse over audits on U.S.-listed Chinese firms to avoid forcing companies off U.S. exchanges.

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Regulation
Court rejects exchanges' challenge to SEC market data rules

An appeals court sided with the SEC in a challenge brought by stock exchanges that sought to halt rules to revamp the collection of market data.

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Regulation
SEC names examinations director

Richard R. Best was appointed director of the SEC's examinations division, following stints serving as director of three regional offices.

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June 20, 2022 page one

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  • Topics
    • Alternatives
    • Consultants
    • Coronavirus
    • Courts
    • Defined Contribution
    • ESG
    • ETFs
    • Hedge Funds
    • Industry Voices
    • Investing
    • Money Management
    • Opinion
    • Partner Content
    • Pension Funds
    • Private Equity
    • Real Estate
    • Russia-Ukraine War
    • SECURE Act 2.0
    • Special Reports
    • White Papers
  • Rankings & Awards
    • 1,000 Largest Retirement Plans
    • Top-Performing Managers
    • Largest Money Managers
    • DC Money Managers
    • DC Record Keepers
    • Largest Hedge Fund Managers
    • World's Largest Retirement Funds
    • Best Places to Work in Money Management
    • Excellence & Innovation Awards
    • WPS Innovation Awards
    • Eddy Awards
  • ETFs
    • Latest ETF News
    • Fund Screener
    • Education Center
    • Equities
    • Fixed Income
    • Commodities
    • Actively Managed
    • Alternatives
    • ESG Rated
  • ESG
    • Latest ESG News
    • The Institutional Investor’s Guide to ESG Investing
    • ESG Sustainability - Gaining Momentum
    • Climate Change: The Inescapable Opportunity
    • Impact Investing
    • 2022 ESG Investing Conference
    • ESG Rated ETFs
  • Defined Contribution
    • Latest DC News
    • DC Money Manager Rankings
    • DC Record Keeper Rankings
    • Innovations in DC
    • Trends in DC: Focus on Retirement Income
    • 2022 Defined Contribution East Conference
    • 2022 DC Investment Lineup Conference
  • Searches & Hires
    • Latest Searches & Hires News
    • Searches & Hires Database
    • RFPs
  • Performance Data
    • P&I Research Center
    • Earnings Tracker
    • Endowment Returns Tracker
    • Corporate Pension Contribution Tracker
    • Pension Fund Returns Tracker
    • Pension Risk Transfer Database
    • Future of Investments Research Series
    • Charts & Infographics
    • Polls
  • Careers
  • Events
    • View All Conferences
    • View All Webinars
    • 2022 Retirement Income Conference
    • 2022 Managing Pension Risk & Liabilities
    • 2022 WorldPensionSummit