Tag: ESG
IOSCO Report Recommends Sustainability-Related Improvements for Asset Managers
IOSCO issues a Final Report with recommendations to improve sustainability-related practices, policies, procedures and disclosures in our industry.
November 04, 2021
Tags: ESG, International, IOSCO, Sustainable Investing
Biden Climate Financial Roadmap Discusses SEC and DOL ESG Proposals
A new Biden Administration report lays out "a roadmap for measuring, disclosing, managing, and mitigating climate-related financial risk across the economy” and follows an executive order regarding financial risk and climate change policy.
October 20, 2021
DOL Proposal Would Allow Fiduciaries to Consider ESG When Selecting Plan Investments
Retirement plan fiduciaries will be permitted to consider climate change/ESG factors when selecting plan investments and voting proxies under a new proposal by the Department of Labor.
October 18, 2021
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
Tags: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management
The CFA Institute has published an exposure draft outlining proposed verification procedures for its ESG Disclosure Standards for Investment Products and requests comments from stakeholders.
September 22, 2021
Tags: Disclosure, ESG
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 Chair Names Additional Members of Policy Team
SEC Chair Gary Gensler has named five new members of his policy team, which is led by Policy Director Heather Slavkin Corzo.
July 20, 2021
Tags: ESG, Gary Gensler, SEC Appointments
In a lengthy open meeting on July 7, the SEC’s Asset Management Advisory Committee adopted subcommittee recommendations on diversity and inclusion (DEI) and ESG, considered an interim report from the Subcommittee on Private Investments, and heard presentations on technology-enabled personalization in the provision of investment advice.
July 12, 2021
Tags: AMAC, Diversity & Inclusion, ESG, Private Offerings, Technology
UK FCA, IOSCO Issue Consultations on ESG, Focus on Asset Management and Products
The UK Financial Conduct Authority (FCA) has issued a consultation paper on climate-related disclosures for asset managers and investment products. The proposal would require asset managers to provide annual entity-level disclosures consistent with recommendations of the Financial Stability Board’s Task Force on Climate-Related Financial Disclosures (TCFD).
July 11, 2021
Tags: ESG, International
SEC’s Office of the Investor Advocate Announces Objectives for 2022
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual report to Congress on objectives for fiscal year 2022, which starts October 1, 2021.
July 07, 2021
Tags: Custody, Digital Assets, ESG, IAC, Rick Fleming, SEC Investor Advocate
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