Anna L'Hommedieu

Anna L'Hommedieu

K&L Gates LLP

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The ESG Debate Heats Up: State AGs Investigating Asset Manager Involvement in ESG Initiatives and Related Proxy Voting

Over the past two weeks, multiple state attorneys general have sent civil investigative demands (CIDs) or subpoenas to asset managers regarding their involvement in the environmental, social, and governance (ESG) initiatives...more

5/30/2023  /  Asset Management , Civil Investigation Demand , Environmental Social & Governance (ESG) , Investigations , Investment Funds , Net Zero , Securities and Exchange Commission (SEC)

The SEC Division of Examinations Announces 2023 Priorities, Including Key Areas for Registered Investment Advisers, Registered...

On 7 February 2023, the Division of Examinations (the Division) of the U.S. Securities and Exchange Commission (SEC) announced its examination priorities for the 2023 fiscal year (the Report). The Report, which identifies...more

2/17/2023  /  Asset Management , Broker-Dealer , Cryptoassets , Cryptocurrency , Enforcement Actions , Environmental Social & Governance (ESG) , Investment Adviser , Investment Companies , Securities and Exchange Commission (SEC)
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