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SEC Adopts Amendments to the Investment Company Act Names Rule

The SEC has adopted amendments to the Investment Company Act Names Rule to address its concerns about fund names that are likely to mislead investors about a fund’s investments and risks.

September 21, 2023

Keywords: ESG, Fund Names

Categories & Topics: Compliance, ESG, Industry-Level, Registered Funds

Investment Adviser Management of ESG Strategies – Practical Considerations in Establishing a Compliance Program

This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.

August 30, 2023

Keywords: ESG

Categories & Topics: Compliance, Compliance Programs, ESG, Industry-Level

SEC Pivots to Finalizing Rules, Other Proposals Coming

Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.

June 15, 2023

Keywords: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Publishes 2023 Examination Priorities

The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.

February 09, 2023

Keywords: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds

Categories & Topics: Compliance, Examinations

GOP Plans to Nullify DOL ESG Rule

House and Senate GOP members will reintroduce Congressional Review Act measures to nullify the Department of Labor’s recent rule permitting retirement plan fiduciaries to consider climate change and other ESG factors.

February 03, 2023

Keywords: Congress, DOL, ESG

Categories & Topics: Compliance, ERISA & Pension Plans, ESG, Industry-Level

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.

January 09, 2023

Keywords: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management