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Investment Adviser › Diversity › Dodd-Frank Wall Street Reform and Consumer Protection Act

Orrick, Herrington & Sutcliffe LLP

SEC provides companies the opportunity to review their diversity policies

Orrick, Herrington & Sutcliffe LLP on

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

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

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

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