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Considerations When Drafting an ESG 80% Policy

Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.

February 14, 2022

Keywords: Columns, Compliance, Compliance Policies, Disclosure, ESG, Gary Gensler, Names Rule

Categories & Topics: Compliance, Compliance Programs, ESG, Industry-Level

Common Triggers of Risk-Based Regulatory Exams and Practice Tips to Avoid Them

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November 29, 2021

Keywords: Columns, SEC Examinations

Categories & Topics: Compliance, Examinations

Fiduciary Duty and Investments in DC Plans | Three Tips for Plan Sponsors

Plan fiduciaries are charged with acting in the best interests of plan participants. What does that mean in practice, especially when it comes to selecting investments for defined contribution plans?

November 22, 2021

Keywords: Active Managers Council , Columns, Fiduciary, Retirement Plans

Categories & Topics: Active Managers Council, Compliance, ERISA & Pension Plans, Membership