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Asset Management › Securities and Exchange Commission (SEC) › Investigations

Carlton Fields

SEC Engages in “Targeted, Common-Sense” Reorganization

Carlton Fields on

It has been reported that the Securities and Exchange Commission (SEC) recently reduced head count by an estimated 12% due to the Trump administration’s effort to rapidly downsize the federal government. Particularly hard-hit...more

K&L Gates LLP

The ESG Debate Heats Up: State AGs Investigating Asset Manager Involvement in ESG Initiatives and Related Proxy Voting

K&L Gates LLP on

Over the past two weeks, multiple state attorneys general have sent civil investigative demands (CIDs) or subpoenas to asset managers regarding their involvement in the environmental, social, and governance (ESG) initiatives...more

Proskauer - The Capital Commitment

Messaging Missteps: SEC’s Increasing Focus on Off-Channel Communications

Proskauer - The Capital Commitment on

The SEC’s Enforcement Division is conducting a sweep investigation of large investment advisers regarding their employees’ use of “off-channel” communications. The sweep, which has been widely reported in the press, focuses...more

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