News & Analysis as of

Diversity Investment Adviser Securities and Exchange Commission (SEC)

Orrick, Herrington & Sutcliffe LLP

SEC provides companies the opportunity to review their diversity policies

On June 5, the SEC began its biennial collection of Diversity Self-Assessment Submissions from regulated entities. Regulated entities included, among others, brokers and dealers, investment advisers, and transfer agents....more

Dorsey & Whitney LLP

SEC Issues FAQ Relating to Investment Adviser Considerations of DEI Factors

Dorsey & Whitney LLP on

​​​​​​​The staff (“Staff”) of the Securities and Exchange Commission issued a FAQ (the “FAQ”) relating to an investment adviser’s consideration of factors relating to diversity, equity, and inclusion (“DEI”) when recommending...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - October 2022

Blank Rome LLP on

REGULATORY UPDATES - SEC Announces Leadership Changes - Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company Accounting Oversight Board (“PCAOB”), which will run until...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - July 2021

Blank Rome LLP on

REGULATORY UPDATES - SEC Leadership Changes - On April 17, 2021, Gary Gensler was sworn into office as the Chair of the Securities and Exchange Commission (the “SEC”). Gensler served as chair of the U.S. Commodity Futures...more

Bass, Berry & Sims PLC

A Summary of Certain Proxy Advisory Firm and Institutional Investor Board Diversity Policies

Bass, Berry & Sims PLC on

Institutional investors and proxy advisory firms continue to develop and refine their policies regarding board diversity. While gender diversity on public company boards has been in focus for some time now, institutional...more

Dorsey & Whitney LLP

SEC Diversity Assessment Reports on Policies and Practices for Investment Advisers, Private Fund Advisers, Broker-Dealers and...

Dorsey & Whitney LLP on

Recently, the Securities and Exchange Commission’s Office of Minority and Women Inclusion (“OMWI”) released its Diversity Assessment Report for regulated entities, including investment advisers, private fund advisers and...more

Blank Rome LLP

Regulatory Update and Recent SEC Enforcement Actions

Blank Rome LLP on

On June 2, 2016, the SEC announced that it hired Christopher R. Hetner, a cybersecurity expert, as the Senior Adviser to the Chair for Cybersecurity Policy. The hire is indicative of the SEC’s focus on cybersecurity measures...more

Goodwin

Financial Services Weekly News - October 2015 #3

Goodwin on

Regulatory Developments: FINRA Requests Comment on Rules Relating to Financial Exploitation of Vulnerable Adults - On Oct. 15 FINRA published Regulatory Notice 15-37, requesting comment on proposed amendments to...more

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