"The Commission currently is in the midst of an ambitious rulemaking agenda. Many of the recently-proposed rules are geared toward the asset management industry"
"Another way that we work to address the declining trust in the financial markets is by conducting proactive enforcement sweeps and initiatives that specifically target ...
"The uncertainty of benefits associated with ESG investing, combined with the certainty of costs for companies undertaking ESG activities, should motivate all market participants – ...
"Requiring every fund to disclose its votes implicitly pressures funds to vote, even when voting is not in their best interest"
"There is also a narrative that the SEC is engaged in 'regulation by enforcement.' But I see something different .... This is not regulation by ...
"Registration of government securities brokers and dealers means that market participants must, among other requirements, keep important books and records, meet minimum capital requirements, and ...
"You’re the first line of defense—not just, crucially, for investors, but also for your colleagues, who are working to meet various revenue goals for your ...
The "Commission noted that asset managers may engage with service providers with international operations and, therefore, generally should consider potential risks related to outsourcing beyond ...
"Today’s proposal incorporates lessons from actual times of stress. As the proposal notes, in March 2020, at the outset of the Covid-19 pandemic, most segments ...
"With the passage of today’s amendments, investors will have better insight into fund governance of portfolio companies, which can improve shareholder value"