This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.
August 30, 2023
Tags: ESG
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
Going Active Can Boost Performance of ESG Funds
Environmental, social, and governance (ESG) funds that are more actively managed and consider metrics beyond third-party ratings tend to outperform.
March 28, 2023
Tags: Active Management, Active Managers Council , ESG
IAA Briefs Members on 2023 Policy Landscape
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
February 10, 2023
Tags: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars
SEC Publishes 2023 Examination Priorities
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
February 09, 2023
Tags: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds
GOP Plans to Nullify DOL ESG Rule
House and Senate GOP members will reintroduce Congressional Review Act measures to nullify the Department of Labor’s recent rule permitting retirement plan fiduciaries to consider climate change and other ESG factors.
February 03, 2023
Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management
Experts Discuss Key Adviser Issues; Changes Post-Election
At the IAA Policy and Leadership Forum, a panel of Washington experts discussed regulatory and legislative developments that are important to the advisory community.
October 27, 2022
Tags: Retirement Savings, AML, ESG, Inside the Beltway
SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers
In a conversation that touched on most of the top-of-mind regulatory issues facing advisers Karen Barr pressed Gary Gensler to recognize the important role advisers play in the lives of their clients and the unintended consequences potentially flowing from the SEC’s departure from its longstanding principles-based approach to adviser regulation.
October 19, 2022
Tags: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC
SEC Investor Advisory Committee Considers ESG, Beneficial Ownership
The SEC’s Investor Advisory Committee discussed the SEC’s ESG and beneficial ownership proposals.
September 22, 2022
Tags: Beneficial Ownership, ESG, IAC