Tag: Climate
Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 17, 2024
Tags: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research
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
Tags: Climate, ESG, GHG Emissions
SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
Tags: Climate, Compliance Testing, Conflicts of Interest, Cybersecurity, Digital Assets, ESG, Fees and Expenses, Marketing Rule, Private Funds, Research, Survey, Valuation
FSOC Report Highlights Need to Enhance Climate-Related Disclosures
FSOC is describing climate change as an "emerging threat" to U.S. financial stability and says investors, market participants, and regulators need better data and information, including "enhanced and transparent disclosures" regarding climate-related financial risks. A new FSOC report makes 30-plus recommendations for addressing the threat.
November 05, 2021
Biden Climate Financial Roadmap Discusses SEC and DOL ESG Proposals
A new Biden Administration report lays out "a roadmap for measuring, disclosing, managing, and mitigating climate-related financial risk across the economy” and follows an executive order regarding financial risk and climate change policy.
October 20, 2021
All Eyes on ESG – Plus Tips for Implementing an ESG Program
All Eyes on ESG – Plus Tips for Implementing an ESG Program April 5, 2021 It seems that everyone is focused on ESG investing these days – investors, the...
April 05, 2021
Tags: Allison Herren Lee, Climate, ESG, EU, Gary Gensler
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms May 25, 2021 SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and...
May 25, 2021
Tags: Accredited Investor, Allison Herren Lee, Climate, ESG, Private Offerings
Executive Order on Climate Risk Directs DOL to Act on ESG, Proxy Rules by September
Executive Order on Climate Risk Directs DOL to Act on ESG, Proxy Rules by September May 25, 2021 President Biden has issued an executive order to advance the Administration’s...
May 25, 2021
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability April 9, 2021 The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year...
April 09, 2021
Tags: Climate, Coronavirus, COVID-19, ESG, Financial Stability, FSOC, Hedge Funds, Mutual Funds, Systemic Risk
CFTC Establishes New Climate Risk Unit to Focus on Role of Derivatives
CFTC Establishes New Climate Risk Unit to Focus on Role of Derivatives March 23, 2021 Noting that “[c]limate change poses a major threat to U.S. financial stability,” CFTC Acting...
March 23, 2021
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