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Podcast: David Berman and Emily Lemaire of Covington on greenwashing and bluewashing
We spoke to David Berman and Emily Lemaire about greenwashing your products, your services and your firm. Tips and best practices.
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SEC issues risk alert on Marketing Rule compliance
The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.
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SEC charges five investment advisers in Marketing Rule enforcement sweep
The SEC charged five RIAs for Marketing Rule violations, pointing to misleading and improper hypothetical advertising in particular.
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SEC charges ex-CEO for statements made on social media to boost stock price
SEC says former CEO made false and misleading statements in press releases and on social media channels such as Stocktwits and YouTube.
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Senior personnel at OEP Capital Advisors emailed MNPI to investors, SEC says
The firm failed to prevent the misuse of potentially material, nonpublic information and misleading communications to current and prospective investors.
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In 2023, the future of compliance and regulation was just beginning
Our US editor Julie DiMauro reflects on the events of 2023, and what they suggest 2024 might bring.
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How technology can support a culture of compliance
Organizations must be strategic and challenging when selecting technology platforms to aid compliance.
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SEC results show resolve to protect investors, hold bad actors accountable
Enforcement results for FY 2023 show SEC filed 784 enforcement actions and obtained orders for nearly $5 billion in financial remedies.