Tag: Diversity & Inclusion
IAA Voices Strong Support for Legislation to Collect Data on Diversity, Equity and Inclusion
Recognizing that the investment adviser profession “has a long way to go in matters of diversity, equity, and inclusion,” the IAA has voiced its strong support for the Diversity and...
April 19, 2021
Tags: Advocacy, Diversity & Inclusion, IAA on Capitol Hill, Inside the Beltway, Karen Barr
SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology July 12, 2021 In a lengthy open meeting on July 7, the SEC’s...
July 12, 2021
Tags: AMAC, Diversity & Inclusion, ESG, Private Offerings, Technology
SEC Chair Gary Gensler 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, effective coordination with other...
May 19, 2021
Tags: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs
The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling on the SEC to “play an active role...
April 16, 2021
Tags: Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, Hester Peirce, IAC, IPOs, IRAs, SPACs, States
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 – ESG, diversity and inclusion, and private investments – and...
April 02, 2021
Tags: Allison Herren Lee, AMAC, Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, ESG, Evolution Revolution, Hester Peirce, Private Funds
AMAC Discusses Private Funds, ESG, and Diversity and Inclusion
The SEC’s Asset Management Advisory Committee’s (AMAC’s) December meeting focused on private funds, ESG, and diversity and inclusion. The AMAC’s Private Investments and ESG subcommittees provided updates on their progress...
December 09, 2020
Tags: AMAC, Diversity & Inclusion, ESG, Pay-to-Play, Private Funds
SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020 The SEC’s Asset Management Advisory Committee held a special...
July 23, 2020
Tags: FinTech, Privacy, AMAC, Dalia Blass, Diversity & Inclusion, Elad Roisman, Jay Clayton
SEC’s IAC Discusses Self-Directed IRAs, Minority Community Investor Inclusion
The SEC’s Investor Advisory Committee (IAC) met on September 24 to discuss self-directed individual retirement accounts (IRAs) and minority community investor inclusion. Regarding self-directed IRAs, Chairman Jay Clayton in his...
October 02, 2020
Tags: Diversity & Inclusion, IAC, IRAs, Jay Clayton
AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact
The SEC’s Asset Management Advisory Committee (AMAC) held a meeting on September 16. In his opening remarks, SEC Chairman Jay Clayton discussed his interest in promoting access and choice for Main...
September 24, 2020
Tags: AMAC, Coronavirus, COVID-19, Diversity & Inclusion, ESG, Private Funds
Commissioner Lee: The Economics of Diversity in Capital Markets
When it comes to the importance of diversity and inclusion in the capital markets and the corporate world, SEC Commissioner Allison Herren Lee says the economic evidence is in: diversity...
October 02, 2020
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