Category: News
November 2022 Compliance Date Finalized for New Marketing Rule
Advisers will have an 18-month transition period after the effective date of May 4, 2021, to comply with the new Marketing Rule, meaning that they will need to be in full compliance by November 4, 2022.
March 10, 2021
Tags: Marketing Rule
Division Director Peter Driscoll addressed the enhanced focus on climate risks and ESG-related issues in remarks at the IAA’s Investment Adviser Compliance Conference.
March 05, 2021
Tags: Compliance, Examinations
SEC Announces Enforcement Task Force on Climate and ESG
In yet another move to intensify its focus on matters relating to ESG disclosures and investments, the SEC’s Division of Enforcement has created a Climate and ESG Task Force.
March 05, 2021
Tags: Allison Herren Lee, Elad Roisman, ESG, Examinations, Hester Peirce, SEC Corporation Finance, SEC Enforcement
SEC Staff to Increase Focus on Climate-Related Disclosures
Acting Chair Allison Herren Lee has directed staff in the SEC’s Division of Corporation Finance to “enhance its focus on climate-related disclosure in public company filings.”
March 01, 2021
Tags: Allison Herren Lee, ESG
SEC Offers Guidance for Investing in ESG Funds
In another sign of the SEC’s increased focus on sustainable investing, the agency’s Office of Investor Education and Advocacy has released an Investor Bulletin that focuses on ESG principles.
March 01, 2021
Tags: ESG, Mutual Funds
The IAA has launched a number of initiatives that explain and explore the Marketing Rule, including the new opportunities it creates and the requirements it imposes.
February 24, 2021
Tags: Advertising Rule, Marketing Rule
Elevating Climate and ESG Issues, the SEC Names a New Senior Policy Advisor
In a signal that the SEC will prioritize both issues under the Biden Administration, the SEC has created a new senior policy advisor position on climate change and ESG.
February 10, 2021
Tags: Allison Herren Lee, Climate Change, ESG, Satyam Khanna
Acting Chairs: Lee at SEC, Behnam at CFTC
President Joe Biden has designated SEC Commissioner Allison Herren Lee as the agency’s Acting Chair.
January 29, 2021
Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process
President Joe Biden was sworn into office on January 20, 2021, and right out of the gate issued several executive orders and presidential actions that in many cases overturned actions and policies of the Trump Administration.
January 26, 2021
Tags: Compliance, DOL, ERISA, ESG, Executive Order, Fiduciary, Marketing Rule, Proxy Voting
Defense Spending Bill Establishes Artificial Intelligence Initiative
Congress has passed the National Artificial Intelligence Initiative Act (NAIIA) as part of the National Defense Authorization Act (NDAA) for fiscal year 2021.
January 25, 2021
Tags: AI, Artificial Intelligence , Blockchain, Technology
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