SEC Compliance Outreach Program Scheduled for November 15
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September 22, 2022
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SEC Responds to Commenter Requests, Extends and Reopens Deadlines
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May 11, 2022
SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology July 12, 2021 In a lengthy open meeting on July 7, the SEC’s...
July 12, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and ESG-related disclosure and her investor protection concerns relating to implementation of Regulation Best Interest (Reg BI),...
May 25, 2021
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability
The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year – and of the new Administration – focused on hedge funds, mutual funds, and climate change. Following a discussion...
April 09, 2021
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds
The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda – ESG, diversity and inclusion, and private investments – and...
April 02, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
AMAC Discusses Private Funds, ESG, and Diversity and Inclusion
The SEC’s Asset Management Advisory Committee’s (AMAC’s) December meeting focused on private funds, ESG, and diversity and inclusion. The AMAC’s Private Investments and ESG subcommittees provided updates on their progress...
December 09, 2020