In the second full week of the new year, the US Securities and Exchange Commission (SEC) settled an administrative action against Comprehensive Capital Management (CCM), a registered.
Securities and Exchange Commission Chair Gary Gensler addressed the Institutional Limited Partners Association (ILPA) Summit on November 10, 2021. During his remarks, he outlined a.
Lessons Learned - The SEC Finds Advisers Response to Phishing Attacks, a Day Late and a Dollar Short. The SEC recently cracked down on three advisory firms for failing.
What You Need To Know:
The SEC recently examined investment advisers, registered investment companies, and private funds that offer ESG products and services.
SEC examinations resulted in finding inadequate and inconsistent firm ESG-related approaches, but also examples of successful firm approaches to ESG investing.
When implementing ESG-related investment practices, firms must be consistent, clear, and transparent regarding their ESG-related investment goals.
On April 9, 2021, the U.S. Securities and Exchange Commission (the SEC) released results from its recent examinations of particular investment advisers, registered investment companies, and private funds (the firms) that purport to offer environmental, social, and governance (ESG) products and services. The SEC observed a large discrepancy between the ESG-related disclosures of these firms and their adopted and implemented ESG practices. The SEC examinations found that firms undertake ESG practices for a variety of reasons
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