Tag: Elad Roisman
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
SEC Investment Management Seeks Input on Cross Trading Rule Amendments
The SEC’s Division of Investment Management staff is considering amending Investment Company Act Cross Trading Rule 17a-7 and is requesting recommendations.
March 24, 2021
Tags: Elad Roisman, Fair Value, Investment Company Act, Valuation
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 Acting Chair Lee Changes Policy on Contingent Settlement Offers
SEC Acting Chair Allison Herren Lee has reversed a practice that has allowed the SEC’s Division of Enforcement to recommend a settlement offer to the SEC that is conditioned on granting a waiver from a disqualification provision under the federal securities laws.
February 17, 2021
Tags: Allison Herren Lee, Elad Roisman, Hester Peirce, SEC Enforcement
Following Clayton’s Departure, Elad Roisman Named Acting Chairman of the SEC
President Trump has designated Commissioner Elad Roisman as Acting Chairman of the SEC, following the departure of Jay Clayton.
December 29, 2020
Tags: Elad Roisman, Jay Clayton
Commissioner Peirce Discusses ESG Metrics and Standards
SEC Commissioner Hester Peirce recently gave a speech in which she discussed her outlook on several issues related to environmental, social, and governance (ESG) investing.
September 23, 2020
Tags: Disclosure, Elad Roisman, ESG, Hester Peirce
The SEC’s Asset Management Advisory Committee held a special meeting on July 16 that included two panel discussions, the first on diversity and inclusion in the asset management industry and the second on data privacy and technology’s impact on investment advice.
July 23, 2020
Tags: FinTech, Privacy, AMAC, Dalia Blass, Diversity & Inclusion, Elad Roisman, Jay Clayton
SEC’s Roisman: More ESG Disclosures from Asset Managers, But Not Public Companies
In a recent speech to the Society for Corporate Governance, SEC Commissioner Elad Roisman argued that asset managers should be required to provide greater disclosure about ESG investments.
July 10, 2020
Tags: DOL, Elad Roisman, ESG
SEC’s Roisman Raises Concerns About Investment Advisers in Speech on Proxy Issues
SEC Commissioner Elad Roisman raised concerns about the proxy voting behavior of investment advisers in a recent speech on proxy issues and the SEC’s current proxy proposals.
March 11, 2020
Tags: Elad Roisman, Proxy
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