In a new report, the Congressional Research Service provided an in-depth analysis of the SEC's approach towards climate-related financial risk disclosures.
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The SEC charged a New York-based "robo-adviser" with making false claims to investors, breaching its fiduciary duty, and committing related compliance failures.
The SEC voted unanimously to propose amendments to filing obligations that would expand the requirement of electronic filing of documents on the SEC's Investment Adviser Registration Depository and EDGAR system.
The House Financial Services Committee approved six bills intended to enhance capital formation.
The MFA and the Alternative Investment Management Association asserted that the SEC proposed rule on business continuity and transition plans for investment advisers is "unnecessary," since "existing SEC guidance has already caused most investment advisers to implement business continuity plans."