Environmental, social, and corporate governance (ESG) investing
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"I do not discount or ignore these calls for additional ESG information, but they raise questions in my mind about what the asset managers are ...
The Department of Labor is seeking comment on proposed rules that would prevent retirement fund managers to invest in funds or other ethical, sustainable and ...
"Let’s keep using our tried and true disclosure framework, which is rooted in materiality and is flexible enough to accommodate a wide range of issuers, ...
The "nebulous nature of such principles allows great latitude to investment advisers”
ESG is hotter than ever, and regulators have noticed the trend
OCIE's 2020 exam priorities include "perennial risk areas" along with some new additions
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
Disclosure is at the heart of our country’s and the SEC’s approach to both capital formation and secondary liquidity. As stewards of this powerful, far ...
Compliance’s role with ESG will be in monitoring the analysis and the process. It also could mean keeping an eye on data used and reporting ...
