Investment advisers offering funds in more than one country are accustomed to adapting to different regulatory requirements. However, the challenges presented by the global regulation of environmental, social, and governance...more
5/2/2025
/ Asset Management ,
Corporate Governance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Regulatory Requirements ,
Securities ,
Sustainability ,
Sustainable Business Practices ,
Sustainable Finance
On 21 October 2024, the SEC’s Division of Examinations (Division) published its 2025 Examination Priorities (Priorities) to provide insight into what the Division plans to focus on in the 2025 fiscal year. In addition to...more
10/30/2024
/ Asset Management ,
Broker-Dealer ,
Compliance ,
Cryptocurrency ,
ETFs ,
Investment Adviser ,
Investment Companies ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
INTRODUCTION -
Asset managers (i.e., investment advisers) offering funds in more than one country are accustomed to adapting to different regulatory requirements. However, the challenges presented by the global regulation...more
7/16/2024
/ Asset Management ,
Corporate Social Responsibility ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services Industry ,
Green Finance ,
Greenhouse Gas Emissions ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Private Funds ,
Regulatory Oversight ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Sustainability ,
Sustainable Finance
Asset managers (i.e., investment advisers) offering funds in more than one country are accustomed to adapting to different regulatory requirements. However, the challenges presented by the global regulation of environmental,...more
2/7/2024
/ Asset Management ,
Corporate Social Responsibility ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services Industry ,
Green Finance ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Private Funds ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Sustainability ,
Sustainable Finance ,
Trusts
Investment advisers offering funds in more than one country are accustomed to adapting to different regulatory requirements. However, the challenges presented by the global regulation of environmental, social, and governance...more
11/10/2023
/ Asset Management ,
Code of Conduct ,
Corporate Governance ,
Corporate Social Responsibility ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Management ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Sustainability ,
Sustainable Business Practices
SUMMARY - On 26 October 2022, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the Proposed Rule) under the Investment Advisers Act of 1940 (Advisers Act) and related amendments (together with the...more
After much anticipation, the U.S. Securities and Exchange Commission (SEC) proposed significant, and potentially burdensome, disclosure and reporting requirements (the Proposed Amendments) for registered funds that use...more
6/22/2022
/ Asset Management ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
ETFs ,
Greenhouse Gas Emissions ,
Investment Funds ,
Investors ,
Proposed Amendments ,
Registered Funds ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
I. Introduction - The rise of cryptocurrencies and digital assets in the financial markets, including the investment management industry, has given rise to a crucial question: which federal regulator - the Securities and...more