Every year, Mintz provides analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange Commission and their annual shareholder...more
My last note touched on a recent SEC rule proposal regarding Predictive Data Analytics, and a speech by Chair Gary Gensler highlighting a number of AI-related concerns. The SEC’s interest in the use of AI does not appear...more
Could the new SEC "Names Rule" really kill ESG funds as this article suggests? It seems very doubtful, but whether you agree with the linked article or not, it does provide an interesting perspective....more
The U.S. Securities & Exchange Commission (“SEC”) recently found that an investment adviser mischaracterized its integration of Environmental, Social, and Governance (“ESG”) factors into research and investment...more