Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more
6/26/2024
/ Artificial Intelligence ,
Canada ,
CFTC ,
Corporate Social Responsibility ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
EU ,
PFAS ,
Securities and Exchange Commission (SEC) ,
Sustainability ,
Tax Credits
Four Key Considerations Since SEC Amended Form PF -
In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment...more
6/14/2023
/ Biometric Information Privacy Act ,
CFTC ,
Climate Change ,
Crypto Exchanges ,
Cryptoassets ,
Data Privacy ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
EU ,
False Claims Act (FCA) ,
New Legislation ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Texas ,
UK ,
Whistleblowers
In the May edition of Capital Markets Compass, we examine how innovative offering structures are providing access to capital despite significant market challenges. We analyze recent SEC comment letters focusing on climate and...more
President Biden's New Executive Order on Environmental Justice Broadly Expands Environmental Justice Requirements -
The Biden Administration has issued Executive Order (EO) 14096: Revitalizing Our Nation's Commitment to...more
Any doubts about the commitment of the Securities and Exchange Commission (SEC or Commission) to environmental and social governance (ESG) disappeared in recent months, as its Division of Corporation Finance (DCF) slammed the...more
Welcome to the inaugural issue of Katten ESG Guidepost. Each month, ESG Guidepost will highlight the latest news, legal and regulatory developments involving environmental, social and governance matters.
...more
4/27/2023
/ Biden Administration ,
Carbon Emissions ,
Department of Labor (DOL) ,
Environmental Social & Governance (ESG) ,
Fashion Industry ,
Gender Equity ,
Greenwashing ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Sustainability
SEC Announces Inspection Priorities for 2023 -
On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15...more
2/22/2023
/ Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fund Managers ,
Investment Adviser ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Whistleblowers
On January 26, 2023, twenty-five states, plus a publicly traded energy company with a subsidiary that is a fiduciary and trustee under ERISA, a trade association for the oil and gas industry, and a participant in an ERISA...more
Multiple news outlets recently reported that the activist group Mighty Earth filed a whistleblower tip, which it styled as an informal complaint, urging the SEC to investigate whether a multinational food company (the...more
New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules -
On November 22, the US Department of Labor (DOL) announced a final rule...more
12/14/2022
/ Block Trades ,
Crypto Exchanges ,
Cryptoassets ,
Cybersecurity ,
Data Protection ,
Department of Labor (DOL) ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Personal Data ,
Private Investment Funds ,
Securities and Exchange Commission (SEC) ,
UK
On November 22, 2022, the U.S. Department of Labor (DOL) announced a final rule promulgated by the Employee Benefits Security Administration that allows retirement plan fiduciaries to consider environmental, social and...more