German Police Raid Firm for Alleged ESG Misrepresentations
The raid follows public reports of investigations by the SEC and DOJ into whether DWS has misled investors on its use of ESG considerations in its investment practices.
June 01, 2022
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IOSCO Publishes Recommendations on ESG Ratings and Data Product Providers
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November 30, 2021
IOSCO Report Recommends Sustainability-Related Improvements for Asset Managers
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November 04, 2021
EC’s Sustainable Finance Package to Require Consideration of Clients’ Sustainability Preferences
The European Commission (EC) has issued a sustainable finance package that will require asset managers to consider a client’s sustainability preferences when providing investment advice. Firms also will need to...
May 12, 2021
Navigating Regulatory Change in Europe | Four Hot Topics
With Brexit roiling the waters, the regulatory environment in Europe is particularly dynamic at the moment. In the International Developments session at the 2021 IAA Investment Adviser Compliance Conference, speakers...
March 16, 2021
IOSCO Presses for Globally Consistent Sustainability Disclosure Standards
The International Organization of Securities Commissions (IOSCO) has issued a press release announcing progress made by its Sustainable Finance Task Force and upcoming work with the International Financial Reporting Standards...
March 01, 2021
EU’s Sustainable Finance Disclosure Reg Takes Effect March 10
The European Union’s Sustainable Finance Disclosure Regulation, colloquially known as SFDR or the “Disclosure Regulation,” will begin to apply on March 10. It requires new disclosures relating to ESG as...
February 18, 2021
IAA Comments on Delegation and ESG in EU AIFMD Consultation
The IAA has submitted comments on a consultation from the European Commission on the Alternative Investment Fund Managers Directive (AIFMD). The IAA’s comments responded to questions on the third-party delegation...
February 02, 2021