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FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability

FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability April 9, 2021   The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year...

April 09, 2021

Keywords: Climate, Coronavirus, COVID-19, ESG, Financial Stability, FSOC, Hedge Funds, Mutual Funds, Systemic Risk

Categories & Topics: Bank Regulation/FSOC, Business Ops/HR, ESG, Industry-Level, Private Funds, Registered Funds

SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds

SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds Introduces New Subcommittees on Smaller Advisers, Evolution of Advice April 2, 2021   The SEC’s Asset Management Advisory Committee’s (AMAC’s)...

April 02, 2021

Keywords: Allison Herren Lee, AMAC, Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, ESG, Evolution Revolution, Hester Peirce, Private Funds

Categories & Topics: Business Ops/HR, Diversity & Inclusion, ESG, Industry Trends, Industry-Level, Private Funds

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021  ...

January 13, 2021

Keywords: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Private Funds, Proxy Voting, Reporting, Senior Client Matters

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