"Funds are admonished to include in their compliance policies and procedures a requirement that employees memorialize the discussion of ESG issues"
"The rule is neutral as to the benefits or risks of ESG investing"
"It is important that investors have consistent and comparable disclosures about asset managers’ ESG strategies so they can understand what data underlies funds’ claims and ...
"The funds we requested will support only about a 5 percent increase in the number of staff that examine investment advisers"
"Firms need to take investor protection and compliance obligations seriously, reining in or curing any conflicts and really delivering the best interest advice that investors ...
"That said, too often, we see defense counsel—sometimes even including Enforcement alums—engage in conduct that seems to have little purpose other than to delay our ...
"I think it’s important to shine light on these markets before any future such tremors arise"
"Today’s agenda also includes the SEC’s proposal on SPACs. SPACs, as you know, go public in two stages .... these paths don’t offer the same ...
"As you consider the proposal, be mindful of the fact that it addresses more than just SPACs; for example, it would deem any business combination ...
"We also benefit from both private and public markets. Private capital markets, such as venture capital, have brought new ideas to market faster and more ...