Trendpublic
Sort by: Title Date

Filter Items

Select Date Range

  
Notice 8 Apr 2025 financial services, investment advisory, sec, regulation compliance, ethics

📈SEC Rule 204A-1

The SEC is seeking an extension for the information collection associated with Rule 204A-1, which requires investment advisers to implement and maintain a code of ethics governing the conduct of their staff and personal securities transactions. This includes safeguards for nonpublic information and reporting standards for potential violations.

Learn More
Notice 7 Mar 2025 compliance, sec, regulations, securities, investment companies, ethics, rule 17j-1

📊SEC Proposed Collection for Rule 17j-1

The SEC is seeking comments on the proposed extension of Rule 17j-1, which governs conflicts of interest for investment company personnel. This rule requires investment organizations to implement ethical codes, report personal securities transactions, and maintain records to enhance regulatory compliance and oversight among Access Persons.

Learn More
Regulatory Compliance, Legal 15 Jan 2025 compliance, reporting and recordkeeping requirements, penalties, conflict of interests, government regulations, inflation adjustments, privacy, government employees, trusts and trustees, ethics

⚖️2025 Adjustments to Civil Monetary Penalties for Government Ethics

In accordance with the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, the U.S. Office of Government Ethics is issuing this final rule to make the 2025 annual adjustments to the Ethics in Government Act civil monetary penalties.

Learn More