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On May 25, 2022, the US Securities and Exchange Commission (the "SEC") proposed two form and rule amendments seeking to enhance and standardize disclosures related to environmental,.
In two separate May 25 releases, the U.S. Securities and Exchange Commission (SEC) proposed amendments to (1) Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940.
In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission (SEC) proposed two rules. The proposed rules for environmental, social and governance (ESG).
Every year, investment advisors registered with the SEC face the thankless task of reviewing their policies and procedures to determine their adequacy and effectiveness as required by.
On October 26, 2021, the SEC’s Division of Examinations (the “Division”) released a risk alert (the “Risk Alert”) detailing observations from a series of examinations by the Division’s.