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SEC Publishes 2023 Examination Priorities

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February 09, 2023

Keywords: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds

Categories & Topics: Compliance, Examinations

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

Karen Barr

SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers

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October 19, 2022

Keywords: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC

Categories & Topics: Compliance, Fiduciary, Industry Trends, Industry-Level

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

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

German Police Raid Firm for Alleged ESG Misrepresentations

The raid follows public reports of investigations by the SEC and DOJ into whether DWS has misled investors on its use of ESG considerations in its investment practices.

June 01, 2022

Keywords: ESG, EU, Investigation

Categories & Topics: ESG, Industry-Level, International

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