Brian Hoffman

Brian Hoffman

Holland & Hart LLP

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New Proposed Rules for Investment Adviser Outsourcing

On October 26, 2022, the US Securities and Exchange Commission (the "SEC") proposed a new rule (206(4)-11) and amendments under the Investment Advisers Act of 1940 that prohibit registered investment advisers from outsourcing...more

11/16/2022  /  Due Diligence , Investment Adviser , Outsourcing , Proposed Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

Buckle Up for the SEC's Mandatory Climate Change Reporting Ride

On March 21, 2022, the US Securities and Exchange Commission (the "SEC") proposed rules governing the "Enhancement and Standardization of Climate-Related Disclosures for Investors." ...more

3/28/2022  /  Clean Air Act , Climate Change , Compliance , Environmental Social & Governance (ESG) , Greenhouse Gas Emissions , Proposed Rules , Reporting Requirements , Risk Management , Securities and Exchange Commission (SEC) , Task Force on Climate-related Financial Disclosures (TCFD)
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