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GOP Plans to Nullify DOL ESG Rule

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February 03, 2023

Keywords: Congress, DOL, ESG

Categories & Topics: Compliance, ERISA & Pension Plans, ESG, Industry-Level

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

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January 09, 2023

Keywords: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Investor Advisory Committee Considers ESG, Beneficial Ownership

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September 22, 2022

Keywords: Beneficial Ownership, ESG, IAC

Categories & Topics: 13D/G, ESG, Industry-Level, Reporting

SEC Compliance Outreach Program Scheduled for November 15

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September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

Texas Blacklists Financial Firms Over Alleged Energy Boycotts

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September 19, 2022

Keywords: Boycott, ESG, State Law

Categories & Topics: Compliance, ESG, Industry-Level, State/Blue Sky

IAA Supports SEC Proposal to Enhance ESG Disclosures for Investment Advisers and Funds with Recommended Changes

The IAA comments, largely in support, on the SEC’s proposed rules to require enhanced disclosure and reporting by investment advisers and funds that consider ESG factors.

August 16, 2022

Keywords: ESG, SEC

Categories & Topics: ESG, Industry-Level

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

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June 27, 2022

Keywords: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, Business Ops/HR, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

IAA Supports the SEC Proposal to Enhance and Standardize Climate-Related Disclosures for Investors with Recommended Changes

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June 21, 2022

Keywords: ESG, SEC

Categories & Topics: ESG, Industry-Level

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