It is clear that environmental, social, and governance (“ESG”) issues will be an “enhanced focus” for the SEC in 2021. See, the regulator’s recent announcement of an ESG task force and the Division of Examinations priorities...more
3/12/2021
/ Broker-Dealer ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinTech ,
Investment ,
Libor ,
OCIE ,
Private Funds ,
Securities and Exchange Commission (SEC)
President-Elect Joe Biden is quickly learning that the line of people seeking regulatory reform in the wake of the Trump administration's regulatory free-for-all is getting longer all the time. At the front of the line is...more
1/5/2021
/ Best Interest Standard ,
Biden Administration ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Fiduciary Duty ,
Financial Regulatory Reform ,
Financial Services Committee ,
Financial Services Industry ,
Form CRS ,
Investment ,
Investment Adviser ,
Legislative Agendas ,
Regulation Best Interest ,
Regulation BI ,
Securities Regulation