Climate Archives

SEC Acting Chair Lee Calls for Public Input on Climate Change Disclosures, Directs Staff to Review 2019 Adviser Proxy Guidance

SEC Acting Chair Lee Calls for Public Input on Climate Change Disclosures, Directs Staff to Review 2019 Adviser Proxy Guidance March 17, 2021 Adding momentum to the SEC’s intensifying...

March 17, 2021

Tags: Allison Herren Lee, Climate, ESG, Proxy

SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies

SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies November 25, 2019 The SEC censured and fined a Chicago-based investment adviser $50,000 for failing to comply with...

November 25, 2020

Tags: Climate, DOL, ESG, FSOC, Proxy

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