The Securities and Exchange Commission (SEC) has sent clear signals that it will pursue companies for “AI washing” — touting the use of artificial intelligence in ways that are false or misleading. The SEC has imposed fines...more
5/9/2024
/ Artificial Intelligence ,
DNA ,
Enforcement ,
Environmental Social & Governance (ESG) ,
False Statements ,
Investment ,
Investment Advisers Act of 1940 ,
Misleading Statements ,
Policies and Procedures ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Websites
ESG IN A NUTSHELL -
The goal of Environmental, Social, and Governance (ESG) programs is simple: minimize risk, increase shareholder value, and contribute to solving societal problems; but do so in a way that is at the same...more
1/12/2023
/ Climate Change ,
Corporate Governance ,
Environmental Social & Governance (ESG) ,
Forced Labor ,
Human Capital ,
Human Rights ,
Investment ,
Investors ,
Paris Agreement ,
Popular ,
Shareholders ,
Transparency ,
Uyghur Forced Labor Prevention Act (UFLPA)
The North American Securities Administrators Association (NASAA), a non-governmental organization that recommends securities regulations for state adoption, has published proposed rules that would limit the ability of...more
On March 30, 2022, the Securities and Exchange Commission issued proposed rules focused on special purpose acquisition companies (SPACs) and subsequent business combination transactions between SPACs and private operating...more
4/25/2022
/ Capital Raising ,
Comment Period ,
Initial Public Offering (IPO) ,
Investment ,
PSLRA ,
Regulatory Agenda ,
Regulatory Reform ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Special Purpose Acquisition Companies (SPACs) ,
Target Company