Disclosure

The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...

Advisers would have to describe their use of ESG factors, their strategies, methods of analysis and how they voted relevant proxies

"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 ...

BNY Mellon IA compliance personnel were unaware before mid-March 2020 that quality reviews were not prepared for all Overlay Fund investments, and thus lacked pertinent ...

You won’t find an Advisers Act rule directing you how to handle trade errors

Dem commissioner sees 'poor incentives,' worries about dilution, shareholder protection

"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 ...

New settlement pushes the number of SEC Form CRS-related enforcement actions to close to 50