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2023 SEC Rulemaking Priorities for Investment Advisers | Dorsey & Whitney LLP

In 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed numerous new and amended rules (“proposals”) that would apply to SEC-registered investment advisers.

Business development companiesInvestment companiesLarge hedge fund advisersDorsey whitneyExchange commissionLarge liquidity fund advisersFund advisersFund investor protection proposalSecurities exchangeAgency rule listFinal rule stageInvestment advisers proposalProposed ruleRegistered advisersInvestment advisers actAdvisers act

Caremark Liability Following The SEC s New ESG Reporting Requirements - Shareholders

One of the more notable developments in Delaware case law in recent years has been the revitalization of "Caremark duty" claims.

United statesNew yorkGail weinsteinLawrencej trautmannMartin liptonClovis oncology incAmerisourcebergen corpCaremark intl incDrug administrationInvestment companiesForum on corpExchange commissionHealth servicesChancery courtMarketing group united states incHealth services insurance plan

Financial Markets and Funds Quick Take | Issue 9

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United statesDaniel davisGary dewaalMarty walshSenate committee on bankingSecurities exchange commissionUs department of laborDivision of enforcementRead congressFinancial industry regulatory authorityGlobal investor groupExchange commissionSemiconductor indexCommodity futures trading commissionEmployee benefits security administrationHouse committee on financial services

SEC Finalizes Expanded Proxy Voting Reporting and New Say-On-Pay Reporting Requirements | K&L Gates LLP

On 2 November 2022, by a vote of 3-2 (with Commissioners Hester Peirce and Mark Uyeda objecting), the Securities and Exchange Commission (SEC) adopted, substantially as proposed in.

Mark uyedaHester peirceHesterm peirceMarkt uyedaCarolinea crenshawCaroline crenshawGary genslerJaime lizManagement investment companyKl gatesFund votingInvestment companiesInvestment companyExchange commissionManagement investment companiesSecurities exchange

SEC Reopens Comment Periods For Several Proposed Rules, Including Climate-Related Disclosures For Investors - Corporate Governance

On Friday, October 7, the Securities and Exchange Commission (SEC) reopened the public comment period for eleven proposed rules whose comment periods closed after March 21, 2022.

Exchange commissionFund advisersInvestment company namesMoney market fund reformsShell companiesPurpose acquisition companiesInvestment companies about environmentalSecurities loansAgainst fraudSecurity based swapsChief compliance officersPosition reportingLarge security based swap positionsMarket fund reformsRepurchase disclosure modernizationShort activity reporting

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