The SEC has released further ESG proposals, (362 pages) that if adopted would establish disclosure requirements for funds and advisers that market themselves as having an ESG focus. 1. Require funds that say they consider ESG factors to provide investors…
Glencore is to plead guilty to bribery and market manipulation charges bought about through a joint U.S. UK investigation by the UK Serious Fraud Office and U.S. Justice Department. Glencore will pay $1.5bn in overall penalties. $1.1Bn to US authorities,…
Market regulators will address Crypto as a digital asset, alongside traditional financial products. Dean Armstrong QC #crypto #regulation #governance #g7 View Original Post
Well worth a read. The EU council announced on the 11th of May 2022 that it had reached an agreement for its Digital Operational Resilience Act (DORA), that will impact EU FIs and require the oversight and assurance of ICT…
Should Chief Compliance Offices (CCO) be held accountable for failures in corporate governance, that participate in Securities Law violations? Could the same apply to CISOs for failure to comply with cybersecurity and data protection violations? Ted Dziekanowski #cybersecuirty #securitiesandexchangecommission #securities…
A nice article on the importance of Enterprise Wide Risk Management and ESG from the American Bankers Association. It describes the importance of the risk function in ensuring and promoting safe and sound practices, supporting strategic goals for ESG. The…
Regulatory compliance in the U.S. especially in the areas of Sanctions, Cyber and Crypto is creating a compliance headache both for Federal agencies and their intended recipients. While Sanctions are not new, the convergence of AML, ESG, Cybersecurity and Crypto…
The renewable sector has been a target for cyber attacks, and the current Ukraine Russia crisis has increased the number of attacks. As with the more recent approach to cyber regulation in the U.S, the attacks are starting to drive…
Israel is looking at regulation requiring Communication companies to implement mandatory and unified cyber security, implement cybersecurity programs. The Communications Ministry and National Cyber Directorate, set out a list of requirements that includes installing monitoring and control systems, while making…
A great day yesterday at The Security Institute AGM. It was an honour to have our Royal Patron, Her Royal Highness princess Anne in attendance. The head office team did an outstanding job and their hard work and dedication to…
