Category: News
SEC’s Office of the Investor Advocate Announces Objectives for 2022
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual report to Congress on objectives for fiscal year 2022, which starts October 1, 2021.
July 07, 2021
Tags: Custody, Digital Assets, ESG, IAC, Rick Fleming, SEC Investor Advocate
SEC Offers Free Training on Identifying and Reporting Elder Abuse
The SEC has announced a joint training program titled Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors.
July 07, 2021
SEC’s Allison Lee to Public Company Boards: Ignore ESG at Your Own Peril
Declaring that environmental and social issues that were “once perhaps treated as more peripheral, are now central business considerations,” SEC Commissioner Allison Herren Lee called on boards of public companies to take steps that “seek to maximize ESG opportunities, message their commitment on these issues, and position themselves as ESG leaders.”
June 29, 2021
Tags: Allison Herren Lee, ESG
Adviser Industry Defies Pandemic, Sets New Growth Records
Defying the challenges posed by the pandemic, the investment adviser industry continued to experience record-breaking growth in 2020 – with close to 14,000 SEC-registered investment advisers managing $110 trillion in assets for 60.8 million clients.
June 28, 2021
Tags: Evolution Revolution, Industry Snapshot, Industry Statistics, Karen Barr
New Governors Elected to IAA Board, New Board Officers Set
Laura K. Drynan of Bourgeon Capital Management, Bret C. Hester of TIAA, and T. Williams Roberts, III of GW&K Investment Management have been elected to the IAA Board of Governors.
June 09, 2021
Tags: Gail Bernstein, IAA Board, Karen Barr
Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule
SEC Chair Gary Gensler has issued a statement directing the SEC staff to consider whether the SEC should revisit the 2019 interpretation stating that proxy voting advice generally is a solicitation under the proxy rules.
June 02, 2021
Tags: Elad Roisman, Gary Gensler, Hester Peirce, Proxy, SEC Corporation Finance
Executive Order on Climate Risk Directs DOL to Act on ESG, Proxy Rules by September
President Biden has issued an executive order to advance the Administration’s policy of achieving clear, comparable, and accurate disclosure of climate-related financial risk, acting to mitigate that risk, and achieving an economy with net-zero emissions by 2050.
May 25, 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
Tags: Accredited Investor, Allison Herren Lee, Climate, ESG, Private Offerings
The issues include sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, and effective coordination with other regulators.
May 19, 2021
Tags: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing
“Bad information, or a lack of information, can lead to bad regulation, which can result in both unnecessary burdens and missed opportunities.” That’s the key takeaway from SEC Commissioner Caroline Crenshaw’s keynote address at the annual Conference on Financial Market Regulation on May 14.
May 19, 2021
Tags: Caroline Crenshaw, CAT, ESG, Form CRS
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