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McHenry tells regulators era of post-financial crisis regulation is over
House Financial Services Committee Chairman Patrick McHenry signals plans to alter oversight of prudential banking regulators.
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SEC charges Richmond Federal Reserve supervisor with insider trading
The SEC said Thompson used material nonpublic information to trade in stock and options of at least two publicly-traded banks within his supervisory portfolio.
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ESG Corner: California laws, Shell’s court battle, data centers and COP29
ESG disclosure rules are being litigated, but corporate entities and governments still have risk-based ESG initiatives as goals.
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SEC action against Lion Street offers insight into standards of care for 2025
The Reg BI case against Lion Street Financial prompts discussion about how the rule has been leveraged for more doomed-to-fail proposals.
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Gensler speech offers a look back at 2024 rulemaking
Gary Gensler spoke of how his agency has updated the securities laws to promote US capital markets and spur economic success.
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PCAOB spotlight on auditor responsibilities in making comms about illegal acts
The Spotlight reminds auditors of their obligations to make timely and appropriate communications about illegal acts by a company during an audit of its financial statements.
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FinCEN alert on fraud schemes involving deepfake media
Alert is part of Treasury’s broader effort to provide information on opportunities and challenges of AI.
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Invesco pays $17.5m to settle SEC’s greenwashing probe
The SEC accused the asset manager of being misleading in its statements and marketing regarding “ESG-integrated” assets.