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
In a lengthy open meeting on July 7, the SEC’s Asset Management Advisory Committee adopted subcommittee recommendations on diversity and inclusion (DEI) and ESG, considered an interim report from the Subcommittee on Private Investments, and heard presentations on technology-enabled personalization in the provision of investment advice.
July 12, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC Commissioner Allison Herren Lee laid out her views on climate- and ESG-related disclosure, her investor protection concerns relating to implementation of Reg BI, and more in two recent speeches.
May 25, 2021
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability
The Financial Stability Oversight Council’s first meeting of the year – and of the new Administration – focused on hedge funds, mutual funds, and climate change.
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 and introduced two new agenda items for 2021.
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.
January 13, 2021
AMAC Discusses Private Funds, ESG, and Diversity and Inclusion
The AMAC’s Private Investments and ESG subcommittees provided updates on their progress and the AMAC’s Diversity and Inclusion subcommittee held a panel discussion.
December 09, 2020