Tag: ESG
IAA Comments on Delegation and ESG in EU AIFMD Consultation
The IAA has submitted comments on a consultation from the European Commission on the Alternative Investment Fund Managers Directive (AIFMD).
February 02, 2021
Tags: ESG, European Commission, Private Funds
Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process
President Joe Biden was sworn into office on January 20, 2021, and right out of the gate issued several executive orders and presidential actions that in many cases overturned actions and policies of the Trump Administration.
January 26, 2021
Tags: Compliance, DOL, ERISA, ESG, Executive Order, Fiduciary, Marketing Rule, Proxy Voting
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020.
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
Getting Proactive on ESG: Five Tips for Advisers
Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where is the investment industry when it comes to incorporating the ESG factors into client portfolios?
January 05, 2021
Tags: Active Managers Council , Columns, ESG, Takeaways
The DOL has adopted amendments to the ERISA proxy voting rule, once again expressing significant skepticism about ESG investing.
December 16, 2020
Tags: DOL, ESG, Proxy, Shareholder Proposals
AMAC Discusses Private Funds, ESG, and Diversity and Inclusion
The AMAC’s Private Investments and ESG subcommittees provided updates on their progress and the AMAC’s Diversity and Inclusion subcommittee held a panel discussion.
December 09, 2020
Tags: AMAC, Diversity & Inclusion, ESG, Pay-to-Play, Private Funds
SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies
SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies November 25, 2019 The SEC censured and fined a Chicago-based investment adviser $50,000 for failing to comply with...
November 25, 2020
Commissioner Lee Calls for SEC to Focus on Climate Change
Commissioner Allison Herren Lee is calling on the SEC to treat climate risk as a systemic risk due to the “potentially irreversible” nature of climate change.
November 17, 2020
Tags: Allison Herren Lee, Disclosure, ESG
IAA Urges CFA Not to Proceed with ESG Product Disclosure Standard
The IAA has urged the CFA Institute not to proceed with a proposed ESG disclosure standard for investment products because of the activity of multiple regulators in this area and the existence of multiple third-party standards.
October 20, 2020
Tags: Disclosure, ESG, Proxy
The DOL’s ESG Proposal: Overview of Key Themes in Comment Letters
DOL's proposal, “Financial Factors in Selecting Plan Investments,” relates to ESG investing on behalf of employee benefit plans subject to ERISA, and investment funds that hold “plan assets” for purposes of ERISA.
October 17, 2020
Tags: Columns, DOL, ESG, Guest Column
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