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.
In October 2020, the U.S. Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 under section 18 of the Investment Company Act of 1940 (the “1940 Act”) to regulate the...
Compliance is defined by Webster’s dictionary in part as “conformity in fulfilling official requirements.” When an investment adviser registers with the U.S. Securities and Exchange Commission (“SEC”), the registrant first...
You are now leaving Investment Adviser Association
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
