In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission (SEC) issued proposed amendments to rules and reporting forms that would require registered investment advisers — including private fund...more
On April 9, 2021, the U.S. Securities and Exchange Commission (SEC) Division of Examinations released a risk alert for investment advisers and funds related to environmental, social and governance (ESG) investing. The ESG...more
At an open meeting held on August 21, 2019 (the “Meeting”), the Commissioners of the Securities and Exchange Commission (SEC) issued guidance (the “Guidance”), by a 3-2 vote, to assist investment advisers when conducting...more
8/30/2019
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Fiduciary Duty ,
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Securities and Exchange Commission (SEC)