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Navigating DEI in an Uncertain Environment
For many investment advisers, diversity, equity, and inclusion has been an important area of focus over the past few years, from both an employment and an investment perspective. But increasingly vocal opposition has generated concerns about DEI programs. Here's what has – and what has not – changed when it comes to DEI and investment advisers.
May 06, 2024
DEI in the Advisory World: Where to from Here?
Earlier this year, Rob Burks and Ritu Bhasin joined the IAA for a webinar to talk about diversity, equity, inclusion, and belonging (DEIB) best practices in 2024.
April 01, 2024
The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
SEC Approves Nasdaq’s Proposals Regarding Board Diversity
The SEC recently approved Nasdaq’s proposed rule changes requiring Nasdaq-listed companies, with certain exceptions, to disclose information regarding board diversity and offering certain companies access to a complimentary board recruiting service.
August 24, 2021
The issues include sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, and effective coordination with other regulators.
May 19, 2021
“Having diverse perspectives is fundamental to good decision-making — and diversity is essential to a company’s success.”
May 13, 2021
IAA Voices Strong Support for Legislation to Collect Data on Diversity, Equity and Inclusion
Recognizing that the investment adviser profession “has a long way to go in matters of diversity, equity, and inclusion,” the IAA has voiced its strong support for the Diversity and Inclusion Data Accountability and Transparency Act.
April 19, 2021
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs
The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services.
April 16, 2021
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