Commissioner Lee Departing the SEC
Allison Herren Lee, who has served as an SEC Commissioner since July 2019, announced that she will be stepping down from her post when her term expires in June.
March 18, 2022
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
Tags: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate
SEC Considers Potential Rulemaking on Complex Exchange-Traded Products
SEC staff is reviewing the potential risks of complex exchange-traded products and will present rulemaking proposals to address those risks.
October 06, 2021
Tags: Allison Herren Lee, Caroline Crenshaw, ETFs, Gary Gensler
SEC’s Gensler Previews Upcoming ESG Proposals
In a recent speech, SEC Chair Gary Gensler outlined the proposals that he has asked the SEC staff to develop related to ESG disclosures.
August 02, 2021
Tags: Allison Herren Lee, Disclosure, ESG, Gary Gensler
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
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 SEC has reopened the comment period for a proposal to require universal proxy cards in connection with certain contested director elections.
April 27, 2021
Tags: Allison Herren Lee, Investment Company, Proxy, Shareholder Proposals
As Policy Debates Intensify, IAA Launches New ESG Committee
To ensure that the interests of investment advisers are protected and advanced in ongoing ESG and Climate policy debates, the IAA has established an ESG Committee.
April 08, 2021
Tags: Allison Herren Lee, ESG, Kelly Gibson
All Eyes on ESG – Plus Tips for Implementing an ESG Program
At the 2021 IAA Investment Adviser Compliance Conference, panelists talked about the challenges created by the attention on ESG.
April 05, 2021
Tags: Allison Herren Lee, Climate, ESG, EU, Gary Gensler
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds
The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda and introduced two new agenda items for 2021.
April 02, 2021
Tags: Allison Herren Lee, AMAC, Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, ESG, Evolution Revolution, Hester Peirce, Private Funds