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.
This Compliance Corner article provides an overview of the requirements of Rule 18f-4 and practical considerations related to the design of compliance programs under that rule.
As the responsibility to maintain compliance with SEC rules and regulations rests on all associates and supervised persons, providing compliance training to all personnel is critical and contributes to a compliance and business culture where legal, ethical practices are the norm.
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