Home SEC: Rulemaking

SEC: Rulemaking

We are proposing to require ESG-related disclosures from registered investment advisers that consider ESG factors as part of their advisory businesses
"The request seeks comment about these and other questions on whether these information providers are providing investment advice under particular facts and circumstances, and thus ...
"The growing prominence of information providers in the industry adds import to our consideration of whether and how the framework for registering and regulating investment ...
Investors may reasonably expect funds with these names to invest in companies with policies, practices, or characteristics that are consistent with these standards, particularly when ...
The proposed regulations will place extra burdens on fund managers to comply. But there is cause for optimism, writes Gen II’s Robert Caporale.
Advisers would have to track portcos' greenhouse gas emissions
'Uneven field,' Chairman says, but stops short of calling for ban of payment-for-order flow
'The rule proposal is not needed.' Principal 'traders are already subject to anti-fraud and anti-manipulation provisions of the Exchange Act'
In reaffirming 'existing obligations,' the SEC also gives examples of what advisers should and shouldn’t do
The new proposal would hand compliance a second job
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination