News & Analysis as of

Environmental Social & Governance (ESG) Compliance Investment Management

Ropes & Gray LLP

2025 Market Outlook: Private Capital Firms Will Face Regulatory Scrutiny

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Alternative asset classes continue to mature, grow and attract investors. From continuation funds to asset management consolidation, the industry is poised for a dynamic 2025. The Asset Management industry is poised for a...more

Morrison & Foerster LLP

2025 ESG + Sustainability Predictions

In 2024, challenges to environmental, social, and governance (ESG) and sustainability initiatives in the United States proliferated internationally. This proved true, even as Europe promoted additional ESG and climate/social...more

Seward & Kissel LLP

SEC Staff Issues New Names Rule FAQs

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Who may be interested: Registered Investment Companies; Compliance Officers - Quick Take: The staff of the Division of Investment Management (Staff) of the SEC recently issued responses to frequently asked questions (FAQs)...more

Jackson Walker

Texas District Court’s Decision in 401(k) Case Has Wide-Ranging Implications for Plan Fiduciaries

Jackson Walker on

On January 10, 2025, the U.S. District Court for the Northern District of Texas issued an opinion in Spence v. Am. Airlines, Inc. (N.D. Tex. Jan. 10, 2025) holding that fiduciaries of two American Airlines 401(k) plans...more

K&L Gates LLP

US Asset Management Regulatory Year in Review 2023

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It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18 new rules or rule amendments proposed, the US Securities and Exchange...more

Proskauer Rose LLP

SEC Adopts Amendments to Fund Names Rule

Proskauer Rose LLP on

On September 20, 2023, the Securities and Exchange Commission (the “SEC”) voted to adopt final amendments to modernize Rule 35d-1 of the Investment Company Act of 1940, as amended (the “1940 Act”). This rule, commonly...more

Goodwin

FINRA 2023 Examination and Risk Monitoring Report Highlights Numerous Risk Areas for Brokers

Goodwin on

On January 10, 2023, FINRA published the 2023 Report on FINRA’s Examination and Risk Monitoring Program. The Report serves as a resource for firms to use to bolster their compliance programs and provides a roadmap of FINRA’s...more

Katten Muchin Rosenman LLP

SEC Announces Year-End Enforcement Results, Highlighting Record-Breaking Penalties - Capital Markets Compass | Issue 4

On November 15, the Securities and Exchange Commission (the SEC) released its summary of enforcement actions brought during the 2022 fiscal year, announcing that in 2022 the SEC filed 760 enforcement actions and recovered an...more

The Volkov Law Group

Implementing ESG Programs: Structure and Responsibilities (Part I of III)

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ESG – the initials that are transforming corporate missions, purposes and structures, fueled by stakeholder and investor demand.  It is a significant moment in corporate and stakeholder interactions. ...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - June 17th, 8:25 am - 3:45 pm CDT

Environmental, Social, and Governance (ESG) risks cannot be effectively managed as an isolated function within a company, nor are they issues only for publicly traded companies. ESG is front and center for organizations of...more

Akin Gump Strauss Hauer & Feld LLP

The SEC’s Latest Risk Alert Puts ESG Investing in the Crosshairs

The Securities and Exchange Commission’s (SEC, or Commission) Division of Examinations (Division) recently issued a Risk Alert highlighting staff observations from examinations of investment advisers, registered investment...more

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