Andrew Otis

Andrew Otis

Kramer Levin Naftalis & Frankel LLP

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Corporate Governance: 2024 Year-End Review

As 2025 begins, we cover several significant corporate governance developments that occurred in the second half of 2024 and since our Corporate Governance: 2024 Midyear Review was published in August. We first highlight...more

1/9/2025  /  Corporate Governance , Corporate Transparency Act , Delaware , Enforcement Actions , FinCEN , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Litigation , Securities Regulation

Investment Adviser Settles SEC Enforcement Action Concerning Alleged Misstatements Regarding ESG Investment Process

On Sept. 25, 2023, the Securities and Exchange Commission announced settled charges against registered investment adviser DWS Investment Management Americas Inc. (DIMA), a Deutsche Bank investment arm, in an enforcement...more

10/2/2023  /  Disclosure Requirements , Enforcement Actions , Environmental Social & Governance (ESG) , Investment Adviser , Securities and Exchange Commission (SEC)

SEC Charges Investment Adviser for Failing to Adequately Disclose ESG Investment Policies and Procedures

On Nov. 22, 2022, the Securities and Exchange Commission (SEC) charged an investment adviser subsidiary of a major U.S. financial institution with violations of Section 206(4) of the Investment Advisers Act of 1940 (Advisers...more

12/8/2022  /  Cease and Desist , Enforcement Actions , Environmental Social & Governance (ESG) , False Statements , Greenwashing , Investment Adviser , Investment Advisers Act of 1940 , Investment Funds , Policies and Procedures , Securities and Exchange Commission (SEC)
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