SEC Responds to Commenter Requests, Extends and Reopens Deadlines
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May 11, 2022
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Considerations When Drafting an ESG 80% Policy
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
SEC’s Gensler Previews Upcoming ESG Proposals
In a recent speech, SEC Chair Gary Gensler outlined the proposals that he has asked the SEC staff to develop related to ESG disclosures. He also discussed Commissioner Allison Herren...
August 02, 2021
SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency
SEC Chair Gary Gensler discussed several of the SEC’s regulatory initiatives in a recent speech, focusing on climate- and ESG-related disclosures, market structure, and transparency. Climate- and ESG-Related Disclosures: Gensler...
June 29, 2021
All Eyes on ESG – Plus Tips for Implementing an ESG Program
It seems that everyone is focused on ESG investing these days – investors, the SEC and regulators in the European Union. At the 2021 IAA Investment Adviser Compliance Conference, Anthony...
April 05, 2021