Walé Oriola on Disclosure Requirements

DOJ & FBI Issue New Guidelines for Delayed Reporting of Cyber Incidents to the SEC

Under the Securities and Exchange Commission’s (SEC) new Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure rule (cybersecurity rule), public companies subject to the cybersecurity rule must promptly...more

12/26/2023 / Cyber Incident Reporting , Cybersecurity , Department of Justice (DOJ) , Disclosure Requirements , FBI , National Security , Popular , Reporting Requirements , Securities and Exchange Commission (SEC)

SEC Adopts Amendments to the Investment Company Names Rule

On September 20, 2023, during its first in-person open meeting since the COVID-19 pandemic, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the Names Rule under Section 35(d) of the...more

10/2/2023 / Disclosure Requirements , Investment Companies , Investment Company Act of 1940 , Recordkeeping Requirements , Securities and Exchange Commission (SEC)

ESG: Growing Government Action Requires a Thoughtful Approach

Environmental, social and governance — or ESG — has become increasingly popular as more investors and customers seek to align their investments with their values, and agnostic investors seek to capitalize on the trend. But,...more

4/21/2023 / Climate Change , Corporate Governance , Corporate Social Responsibility , Disclosure Requirements , Environmental Social & Governance (ESG) , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

SEC Proposes ESG Disclosure Requirements for Investment Advisers

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

6/30/2022 / Disclosure Requirements , Environmental Social & Governance (ESG) , Form ADV , Investment Adviser , Investment Advisers Act of 1940 , Investment Company Act of 1940 , Registered Investment Advisors , Securities and Exchange Commission (SEC)

SEC Proposes ESG Disclosure Requirements for Investment Companies to Combat Greenwashing

In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission ( SEC) proposed amendments to rules and reporting forms under the Investment Company Act of 1940 that would require registered investment...more

6/16/2022 / Disclosure Requirements , Environmental Social & Governance (ESG) , Form N-CEN , Investment , Securities and Exchange Commission (SEC)

SEC Proposes Rules for ESG Disclosures and Amendments to the Investment Company Names Rule

In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission (SEC) proposed two rules. The proposed rules for environmental, social and governance (ESG) disclosure would amend rules and forms to require...more

6/1/2022 / Corporate Counsel , Disclosure Requirements , Environmental Social & Governance (ESG) , Investment Companies , Proposed Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

Proposed Climate Disclosure Rules for Public Companies

On March 21, 2022, the Securities and Exchange Commission (SEC) issued highly anticipated proposed rules that would require public companies to include climate-related disclosures in their annual reports and registration...more

4/13/2022 / Climate Change , Disclosure Requirements , Greenhouse Gas Emissions , Proposed Rules , Regulation S-K , Securities and Exchange Commission (SEC) , Task Force on Climate-related Financial Disclosures (TCFD)

SEC Proposes New Rules and Amendments for Private Fund Advisers

The proposal would prohibit all private fund advisers from engaging in certain activities, place certain obligations on registered private fund advisers, and require all registered advisers to document the annual review of...more

2/21/2022 / Disclosure Requirements , Investment Adviser , Investment Advisers Act of 1940 , Investors , Policies and Procedures , Private Funds , Securities and Exchange Commission (SEC)

SEC Proposes Amendments to Form PF

On January 26, 2022, the U.S. Securities and Exchange Commission (SEC) issued proposed amendments to Form PF, which is the confidential reporting form for certain registered investment advisers to private funds. The proposed...more

2/3/2022 / Disclosure Requirements , Form PF , Investment Adviser , Private Funds , Proposed Amendments , Securities and Exchange Commission (SEC)

Walé Oriola

Faegre Drinker Biddle & Reath LLP

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