An instrumentation manufacturer settled potential civil liability for alleged violations of the Iranian Transactions and Sanctions Regulations.
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SEC Acting Chair Allison Herren Lee requested public comment on climate change-related disclosure, and reaffirmed her commitment to the development of an effective environmental, social and governance disclosure framework.
The FDIC Office of Minority and Women Inclusion encouraged banks with 100 or more employees to participate in a "Financial Institution Diversity Self-Assessment."
SEC Division of Corporation Finance Acting Director John Coates issued a statement on the need to develop both adaptive and innovative environmental, social and governance disclosure requirements.
A firm settled FINRA charges for failing to ensure that its sales and purchases were as fair and favorable as possible to its customers.