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Mind your P’s and P’s – SEC Settles Enforcement Action Related to ESG Policies and Procedures

The Securities and Exchange Commission (the “SEC”) has again set its sights on registrants’ environmental, social, and governance (“ESG”)-related investing. In another major action against registrants involving ESG-related...more

SEC's Division of Examinations Releases 2022 Examination Priorities

Each year, the SEC’s Division of Examinations (the “Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing, reviewing, and updating their compliance...more

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