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SEC To Regulated Companies: Be Prepared For ESG Scrutiny - Corporate/Commercial Law

Climate Clash at the Commission? | Goodwin

To embed, copy and paste the code into your website or blog: A flurry of recent climate-related announcements from the SEC forecasts an upcoming policy battle at the agency.  Acting Chair Allison Herren Lee has signaled that “ESG” will clearly be in focus across the SEC’s various divisions, including Examinations, Corporation Finance, and Enforcement.  Presumptive incoming SEC Chairman Gary Gensler also indicated during his March 2, 2021 Senate confirmation hearing that ESG considerations would be on his radar when setting his agenda.  But Commissioners Peirce and Roisman issued their own statement in which they question (in a rather sardonic manner) whether the announcements “raise more questions than they answer.”

Compliance slip? Hundreds of firms fail to file Form CRS with SEC

SEC taps new examination operations executive

SEC taps new examination operations executive Charles Koretke has been named managing executive of the SEC s Examinations division, the agency announced Tuesday. Mr. Koretke has been acting executive since October 2019. Mr. Koretke will be in charge of business operations, including examiner training and development and analytical services that support examinations,. He will also be the division s main liaison to other SEC divisions and offices. Examinations Director Peter Driscoll said in the announcement that Mr. Koretke brings extensive analytical talent, demonstrated initiative, and broad knowledge of examinations to this role. The office, created 25 years ago, is now the SEC s second-largest division in terms of staff size, after enforcement. Until Dec. 17, it was called the Office of Compliance Inspections and Examinations. The name was changed to reflect the division s emphasis on compliance in the financial services industry, SEC officials said.