ESG

OCIE's 2020 exam priorities include "perennial risk areas" along with some new additions

The new report provides “hallmarks” of effective compliance programs detected by the agency over the years

An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).

Disclosure is at the heart of our country’s and the SEC’s approach to both capital formation and secondary liquidity. As stewards of this powerful, far ...

Compliance’s role with ESG will be in monitoring the analysis and the process. It also could mean keeping an eye on data used and reporting ...

Investors moving to put their money into companies that do good appears as hot as an Arizona solar panel in July. A new report on ...