Category: Legal and Regulatory Updates
Commissioner Peirce Discusses ESG Metrics and Standards
SEC Commissioner Hester Peirce recently gave a speech in which she discussed her outlook on several issues related to environmental, social, and governance (ESG) investing.
September 23, 2020
Tags: Disclosure, Elad Roisman, ESG, Hester Peirce
The Commodity Futures Trading Commission’s Division of Enforcement has issued new guidance on how the Division will evaluate compliance programs in connection with enforcement matters.
September 22, 2020
Tags: CFTC
New Jersey-Based Adviser Charged with Cherry-Picking
The SEC charged a New Jersey-based investment adviser and its president in connection with a “cherry-picking” scheme that the SEC alleges breached the adviser’s fiduciary duty to its advisory clients.
September 18, 2020
Tags: SEC Enforcement
Investment Adviser Fined $75,000 for Custody Rule Violations
The SEC settled an enforcement action with a New York City-based investment advisory firm for violations of the Advisers Act Custody Rule.
September 18, 2020
Tags: Custody Rule, SEC Enforcement
SEC Broadens Accredited Investor and Qualified Institutional Buyer Definitions
The SEC has, by a 3-2 vote, adopted amendments to the “accredited investor” definition in Regulation D and “qualified institutional buyer” definition in Rule 144A.
August 26, 2020
Tags: Accredited Investor, QIB
CFA Institute Publishes Consultation Paper on Disclosure Standards for ESG Investment Products
The CFA Institute has published a consultation paper requesting comment on the scope, structure, and design of the global ESG Disclosure Standards for Investment Products that it is developing.
August 24, 2020
Tags: Disclosure, ESG
DOL Issues Interim Final Rule Regarding Lifetime Income Illustrations for Plan Participants
The Department of Labor (DOL) has issued an interim final rule with request for comments (IFR) regarding lifetime income illustrations, as required by the SECURE Act.
August 24, 2020
Tags: DOL, ERISA, Retirement Plans, SECURE Act
DOL Proposes Registration Requirements for Pooled Plan Providers
The 2019 SECURE Act, which changed several retirement-related rules, also created a new type of multiple employer retirement plan called a pooled employer plan (PEP).
August 24, 2020
Tags: DOL, Retirement Plans, SECURE Act
Head of SEC’s New York Regional Office Becomes Deputy Director of Enforcement, Replaced by Director
The SEC has named Marc P. Berger as Deputy Director of the Division of Enforcement.
August 24, 2020
Tags: SEC Appointments, SEC Enforcement
The IAA has joined other trade associations in an August 5 letter to the CFTC supporting its May 28 adoption of an interim final rule and issuance of a proposed rule delaying implementation dates related to initial margin requirements (IM) for uncleared swaps for swap dealers and major swap participants.
August 20, 2020
Tags: CFTC, Coronavirus, COVID-19
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