Asset Management, Securities Regulation, Environmental Social & Governance (ESG)

Investment Management Client Alert June 2025

K&L Gates LLP on 6/30/2025

ESMA Publishes Final Report on the Preparation of Securities Prospectuses -On 12 June 2025, the European Securities and Markets Authority (ESMA) published its final report with regulatory technical standards (RTS) for the...more

Asset Management Regulatory Year in Review 2024

K&L Gates LLP on 2/12/2025

2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more

European Regulatory Timeline 2025

Proskauer Rose LLP on 1/16/2025

Following the turn of the new year, our UK Regulatory specialists have examined the key regulatory developments in 2025 impacting a range of UK and European firms within the financial services sector. The key dates have been...more

October and November 2024 Regulatory Roundup

SEC Compliance Consultants, Inc. (SEC³) on 11/27/2024

After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more

We're Still Struggling to Define "Sustainable" and "ESG" in Securities Filings

Morris, Manning & Martin, LLP on 6/6/2024

Correspondence between the SEC Staff and an ESG-focused ETF sponsor shows that we are still struggling to define “Sustainable” and “ESG” for purposes of securities filings....more

SEC Commissioner Uyeda Comments on ESG Investment Strategies

Cadwalader, Wickersham & Taft LLP on 2/7/2023

Mark T. Uyeda, Commissioner at the U.S. Securities and Exchange Commission (SEC), spoke at the California ‘40 Acts Group on January 27 regarding various investment-related ESG issues....more