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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

Man the Cyber Forts! – SEC Proposes New Cybersecurity Regulations for RIAs and Funds

With cybersecurity incidents increasing in frequency and notoriety, the Securities and Exchange Commission (the “SEC”) has set its sights on fortifying cybersecurity regulations across the entire financial industry, including...more

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