The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host four panels to discuss: Human… Original Article
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SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee
Washington D.C., Sept. 23, 2021 — The Securities and Exchange Commission today released the agenda for the Sept. 27 meeting of the Asset Management Advisory Committee (AMAC). The meeting will include a discussion of matters in the asset management industry relating to: the Private Investments Subcommittee, including its potential recommendations; and the Evolution of Advice […]
SEC Proposes Revision to Privacy Act Rule
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. The Privacy Act is the principal law governing the handling of personal information in the federal government. The current… Original Article
Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments
The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. (DIMA or DWS), a subsidiary of Deutsche Bank AG, in two separate enforcement actions, one addressing its failure to develop a… Original Article