Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon
Federal agencies issue Spring 2022 Reg Flex agendas; Custody Rule expected in near term, FTC premerger notification rule and anti-money laundering for advisers on the agenda.
June 27, 2022
A Proxy Voting Primer for Uncertain Times
This article discusses requirements for advisers that vote proxies and the status of recent regulatory developments.
March 23, 2022
DOL Pulls Back on 2020 Statement on Use of Private Equity in Defined Contribution Plans
The DOL’s Employee Benefits Security Administration has issued a Supplemental Statement on the use of private equity investments in defined contribution plans that significantly limits a June 2020 Information Letter.
January 04, 2022
Biden Climate Financial Roadmap Discusses SEC and DOL ESG Proposals
A new Biden Administration report lays out "a roadmap for measuring, disclosing, managing, and mitigating climate-related financial risk across the economy” and follows an executive order regarding financial risk and climate change policy.
October 20, 2021
DOL Proposal Would Allow Fiduciaries to Consider ESG When Selecting Plan Investments
Retirement plan fiduciaries will be permitted to consider climate change/ESG factors when selecting plan investments and voting proxies under a new proposal by the Department of Labor.
October 18, 2021
Federal Agencies Release Spring 2021 Regulatory Agendas
Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities.
June 16, 2021
Executive Order on Climate Risk Directs DOL to Act on ESG, Proxy Rules by September
President Biden has issued an executive order to advance the Administration’s policy of achieving clear, comparable, and accurate disclosure of climate-related financial risk, acting to mitigate that risk, and achieving an economy with net-zero emissions by 2050.
May 25, 2021
DOL Will Not Enforce ESG and Proxy Rules, Pending Agency Review
In a welcome development, the Department of Labor has announced that it intends to revisit the recently adopted ESG rule and proxy rule.
March 10, 2021
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