Regulatory Alerts
Quick hitting summaries of specific regulatory developments and their impact on financial services firms.
Key Highlights
- SEC. Enforcement action against large firm for inadequate disclosure of robo-adviser portfolios.
- SEC. RFI on “Information Providers” acting as “Investment Advisers”
- CFPB. Initiative and RFI to improve customer service at big banks
- BIS. Final principles for effective management and supervision of climate-related financial risks (see KPMG Regulatory Alert here)
- Industry news: Banks raise prime rates to match Fed’s hike
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Industry news headlines
(Some links may require subscription)
- Wall Street banks raise prime rates to match Fed's hike (Reuters)
- Cryptocurrencies Lose $2 Trillion in Value Since 2021 Peak (Newsweek)
- Bitcoin Price Falls Toward $20,000 as Cryptocurrency Rout Deepens (WSJ)
- SEC Stays Busy Cranking Out Proposed ESG Investment Fund Rules (CPA Practice Advisor)
- Finance Teams Gear Up for Potential New SEC Climate Disclosure Rules (WSJ)
- SEC proposal on fund names looms over everything, not just ESG (Financial Times)
- Did bank regulators just get a green light for climate stress tests? (American Banker)
- Biden Plan for EV Chargers on Highways Meets Skepticism in Rural West (WSJ)
- Crypto Legislation Could Undermine Market Regulations, Gensler Says (WSJ)
- The Largest Carbon-Offset Registry Cracks Down on Crypto (WSJ)
- Habitat for Humanity International launches initiative to address the Black homeownership gap in the U.S. (Habitat)
