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Environmental Social & Governance (ESG) Registered Investment Advisors

Mayer Brown Free Writings + Perspectives

SEC Testifies Before Congress & Updates from the Division of Corporation Finance

The Chair and Commissioners of the Securities and Exchange Commission testified before the US House of Representatives Committee on Financial Services on September 24, 2024.  The SEC’s testimony provided updates on market...more

Morrison & Foerster LLP

SEC Targets "AI Washing" With Two New Settled Cases

On March 18, 2024, the SEC announced—in videos posted on YouTube and Twitter—regulatory actions against two investment advisers for “AI washing,” a practice defined by the SEC as “making false artificial intelligence-related...more

Dorsey & Whitney LLP

2024 SEC Examination Priorities for Investment Advisers

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The SEC’s Division of Examinations (the “Division”) announced its examination priorities for fiscal year 2024. This eUpdate includes observations on the examination priorities and a list of examination priorities that impact...more

Mayer Brown Free Writings + Perspectives

SEC Announces 2024 Exam Priorities

On October 16, 2023, the Division of Examinations of the U.S. Securities and Exchange Commission (the “Division” and the “SEC,” respectively) announced its examination priorities for 2024. While the Division typically...more

Latham & Watkins LLP

SEC Adopts Changes to Names Rule for Registered Funds

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The amendments aim to modernize the Names Rule and promote investor protection objectives by ensuring that a fund’s portfolio of holdings aligns with its name. The US Securities and Exchange Commission (the SEC or the...more

Stark & Stark

[Event] RIA Compliance and Legal Strategies Conference - November 9th, Hamilton, NJ

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The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 4 CFP CE...more

King & Spalding

2023 SEC Exam Priorities

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On February 7, the Division of Examinations of the Securities and Exchange Commission (the “Division”) published its 2023 Examination Priorities (the “Exam Priorities”).1 The Exam Priorities indicate a particular Staff...more

Morrison & Foerster LLP

SEC Division of Examinations’ 2023 Exam Priorities – A Continued Focus on Private Funds, Regulation Best Interest, ESG, and Crypto

On February 7, 2023, the Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMs) announced its 2023 Examination Priorities (the “Priorities”), which highlight areas it expects to target in 2023...more

Lowenstein Sandler LLP

SEC Releases 2023 Examination Priorities for Registered Investment Advisers and Broker-Dealers

Lowenstein Sandler LLP on

On February 7, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Priorities Report1 for upcoming examinations of registered investment advisers...more

Quarles & Brady LLP

Annual Update of Form ADV and Recent Regulatory Changes Affecting Advisers

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As a reminder, each registered investment adviser must file an annual updating amendment to its Form ADV within 90 days of its fiscal year end. This means an adviser with a December 31 fiscal year end will be required to file...more

Morrison & Foerster LLP

Private Fund Advisers 2023 Regulatory Outlook

Sponsors and managers of private funds must attend to various routine regulatory and compliance tasks, which can include ongoing reporting obligations under the Investment Advisers Act of 1940 (the “Advisers Act”), updating...more

Oberheiden P.C.

SEC Exam Priorities for 2023

Oberheiden P.C. on

Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 - Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: December 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

Mintz

Louisiana and Indiana Attorneys-General Issue Guidance That Investment Firms Incorporating ESG Factors Violate Their Fiduciary...

Mintz on

Recently, both the Louisiana Attorney-General and the Indiana Attorney-General issued legal guidance that the consideration of ESG factors by investment firms likely would, in the absence of full disclosure, violate the...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes ESG Disclosure Requirements for Investment Advisers

In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission (SEC) issued proposed amendments to rules and reporting forms that would require registered investment advisers — including private fund...more

Holland & Knight LLP

SEC ESG-Rulemaking Wave Continues with Proposed Rule for Advisers and Funds

Holland & Knight LLP on

In the SEC's latest environmental, social and governance (ESG) rulemaking salvo, the agency proposed two new ESG-focused rules aimed at the advisory and investment company space: 1) proposed amendments to the "Names Rule"...more

Sullivan & Worcester

SEC Proposes Enhanced Disclosures by Investment Advisers and Investment Companies About ESG Investment Practices

Sullivan & Worcester on

On May 25, 2022, the Securities and Exchange Commission (“SEC”) proposed amendments to rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940, as amended (“1940...more

Lowenstein Sandler LLP

SEC Proposes Rules to Enhance ESG Disclosures by Advisers and Registered Funds

Lowenstein Sandler LLP on

On May 25, 2022, the Securities and Exchange Commission (SEC) proposed rules to (i) enhance and standardize the disclosures of Advisers and Registered Funds, related to the incorporation of environmental, social, and...more

A&O Shearman

SEC proposes enhanced ESG disclosures with significant repercussions for private funds, private wealth advisers, and...

A&O Shearman on

On May 25, 2022, the Securities and Exchange Commission (the SEC) proposed rule and form amendments that, if adopted, would require specific, additional disclosures regarding environmental, social, and governance (ESG)...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: June 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

BCLP

The SEC’s Continued Efforts to Dive Feet First into Climate Control and ESG Initiatives

BCLP on

On May 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) provided notice of proposed rulemaking aimed at Investment Advisers (“Advisers”), Investment Companies and Business Development Companies (collectively...more

Eversheds Sutherland (US) LLP

SEC proposes enhanced investment company and investment adviser ESG disclosures

On May 25, 2022, the Securities and Exchange Commission (SEC) proposed significant rule and form amendments under the Investment Company Act of 1940, as amended (1940 Act) and the Investment Advisers Act of 1940, as amended...more

Goodwin

SEC Proposes ESG Disclosure Rules for Investment Advisers and Investment Companies

Goodwin on

On May 25, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed a package of new rules to address and enhance investor disclosure practices, and related policies and procedures, regarding Environmental,...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes Rules for ESG Disclosures and Amendments to the Investment Company Names Rule

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) disclosure would amend rules and forms to require...more

Mayer Brown Free Writings + Perspectives

US SEC Proposes Rules Regarding ESG for Certain Funds and Advisers

At an open meeting on May 25, 2022, the US Securities and Exchange Commission (“SEC” or “Commission”) approved two new proposals that will impact the fund and investment management industry. One of the proposals is directed...more

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