Category: News
November 2022 Compliance Date Finalized for New Marketing Rule
The new Investment Adviser Marketing Rule was recently published in the Federal Register. As a result, advisers will have an 18-month transition period after the effective date of May 4,...
March 10, 2021
Tags: Marketing Rule
Peter Driscoll, SEC Examinations Director One day after the SEC Division of Examinations staff announced its exam priorities for fiscal year 2021, Division Director Peter Driscoll addressed the enhanced focus...
March 05, 2021
Tags: Compliance, Examinations
SEC Announces Enforcement Task Force on Climate and ESG
SEC Acting Chair Allison Herren Lee In the yet another move to intensify its focus on matters relating to ESG disclosures and investments, the SEC’s Division of Enforcement has...
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
In yet another move elevating the SEC’s attention to climate and ESG issues, Acting Chair Allison Herren Lee has directed staff in the SEC’s Division of Corporation Finance to “enhance...
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 environmental, social, and...
March 01, 2021
Tags: ESG, Mutual Funds
Investment advisers have much to learn and put into practice during the 18-month implementation period for the SEC’s new Investment Adviser Marketing Rule. To assist our members with navigating the...
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. Allison...
February 10, 2021
Tags: Allison Herren Lee, Climate Change, ESG, Satyam Khanna
Acting Chairs: Lee at SEC, Behnam at CFTC
Allison Herren Lee President Joe Biden has designated SEC Commissioner Allison Herren Lee as the agency’s Acting Chair. Lee, who was first sworn in as a Commissioner in July...
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...
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. The NDAA was adopted by Congress on...
January 25, 2021
Tags: AI, Artificial Intelligence , Blockchain, Technology
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