Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
April 15, 2024
SEC Finalizes Rules on Public Companies’ Emissions and Climate Risk
The SEC passed a controversial new rule requiring public companies to disclose material climate risks and greenhouse gas emissions.
March 06, 2024
SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
SEC Adopts Amendments to the Investment Company Act Names Rule
The SEC has adopted amendments to the Investment Company Act Names Rule to address its concerns about fund names that are likely to mislead investors about a fund’s investments and risks.
September 21, 2023
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
House Financial Services Committee Kicks Off “ESG Month”
House Financial Services Committee Republicans have dubbed July “ESG Month,” and have scheduled multiple ESG-focused hearings that are expected to culminate in a markup of ESG legislation addressing proxy advisors, asset managers, disclosure requirements, and other issues.
July 14, 2023
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