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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

SEC Staff Releases Additional Form CRS Observations

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December 21, 2021

Keywords: Discl, Disclosure, Fiduciary, Form CRS

Categories & Topics: Fiduciary, Form ADV & CRS

SEC Fines PE Fund Adviser $4.5 Million in Connection with Fee Calculations

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December 21, 2021

Keywords: Disclosure, Fees and Expenses, Private Equity, SEC Enforcement

Categories & Topics: Enforcement, Private Funds

Adviser, Principals Fined for Charging Clients Fees Without Providing Advice

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October 05, 2021

Keywords: Conflicts of Interest, Disclosure, Fees and Expenses, Fiduciary, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Enforcement, Fiduciary

Private Fund Placement Agent Fined for Custody Rule Violations and Lack of Disclosure of Misappropriation

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September 22, 2021

Keywords: Custody, Disclosure, Private Funds, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Custody, Enforcement, Private Funds

SEC Brings More Revenue Sharing Disclosure Cases

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August 17, 2021

Keywords: Conflicts of Interest, Disclosure, Revenue Sharing, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Enforcement

SEC Adds Lack of Disclosure of Margin Interest Mark-Ups to Share Class-Related Violations

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August 04, 2021

Keywords: Conflicts of Interest, Disclosure, SEC Enforcement, Share Class Disclosure

Categories & Topics: Compliance, Conflicts, Enforcement

New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades

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July 22, 2021

Keywords: Compliance Policies, Conflicts of Interest, Cross Trading, Disclosure, SEC Examinations, Wrap Fees

Categories & Topics: Brokerage & Trading, Business Ops/HR, Compliance, Conflicts, Examinations, Wrap Fee

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