Tag: ESG
Navigating Regulatory Change in Europe | Four Hot Topics
U.S. investment advisers with European clients or prospects should pay particular attention to these four issues discussed by panelists at the 2021 IAA Investment Adviser Compliance Conference.
March 16, 2021
Tags: Compliance Conference, ESG, International
DOL Will Not Enforce ESG and Proxy Rules, Pending Agency Review
In a welcome development, the Department of Labor has announced that it intends to revisit the recently adopted ESG rule and proxy rule.
March 10, 2021
Tags: DOL, ERISA, ESG, Fiduciary, Proxy Voting
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce
The European “merit regulation” on ESG is not a model for the United States, suggested SEC Commissioner Hester Peirce, in her keynote conversation with IAA President & CEO Karen Barr at the 2021 IAA Investment Adviser Compliance Conference.
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement
Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail Bernstein at the 2021 IAA Investment Adviser Compliance Conference.
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways
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 Staff to Increase Focus on Climate-Related Disclosures
Acting Chair Allison Herren Lee has directed staff in the SEC’s Division of Corporation Finance to “enhance its focus on climate-related disclosure in public company filings.”
March 01, 2021
Tags: Allison Herren Lee, ESG
SEC Offers Guidance for Investing in ESG Funds
In another sign of the SEC’s increased focus on sustainable investing, the agency’s Office of Investor Education and Advocacy has released an Investor Bulletin that focuses on ESG principles.
March 01, 2021
Tags: ESG, Mutual Funds
IOSCO Presses for Globally Consistent Sustainability Disclosure Standards
IOSCO has issued a press release announcing progress made by its Sustainable Finance Task Force and upcoming work with the International Financial Reporting Standards Foundation on sustainability disclosure standards.
March 01, 2021
Tags: ESG, International
EU’s Sustainable Finance Disclosure Reg Takes Effect March 10
The European Union’s Sustainable Finance Disclosure Regulation (SFDR or the “Disclosure Regulation") will begin to apply on March 10.
February 18, 2021
Tags: ESG, European Commission
Elevating Climate and ESG Issues, the SEC Names a New Senior Policy Advisor
In a signal that the SEC will prioritize both issues under the Biden Administration, the SEC has created a new senior policy advisor position on climate change and ESG.
February 10, 2021
Tags: Allison Herren Lee, Climate Change, ESG, Satyam Khanna
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