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Tideline Managing Partner Ben Thornley and BlueMark CEO Christina Leijonhufvud Issue Statement on SEC Risk Alert and SFDR

The SEC s Latest Risk Alert Puts ESG Investing In The Crosshairs - Corporate/Commercial Law

To print this article, all you need is to be registered or login on Mondaq.com. The Securities and Exchange Commission s (SEC, or Commission) Division of Examinations (Division) recently issued a Risk Alert highlighting staff observations from examinations of investment advisers, registered investment companies and private funds (firms) engaged in environmental, social, and governance (ESG) investing. This article summarizes the Risk Alert, including focus areas and observations of deficiencies and internal control weaknesses, as well as recommendations of effective practices relating to ESG investing that may be helpful in developing and enhancing a firm s compliance practices. As investor demand for ESG information rises, the need for

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