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On May 25, the Securities and Exchange Commission (“SEC”) issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) for advisers to private funds that consider. ....
SEC's proposed rules are part of an effort by the SEC to address the growth in ESG-focused investing and concerns that claims made by advisers about their ESG practices do not meet investor expectations. ....
SEC's proposed rules are part of an effort by the SEC to address the growth in ESG-focused investing and concerns that claims made by advisers about their ESG practices do not meet investor expectations. ....
Friday, April 9, 2021 SEC Announces 2021 Examination Priorities The SEC’s Division of Examinations (Division), formerly known as the Office of Compliance Inspections and Examinations (OCIE), released its 2021 examination priorities. In its release, the Division noted that it completed over 2,952 examinations in 2020 and issued more than 2,000 deficiency letters. Approximately 15% of all registered investment advisers were examined during 2020 and the Division completed more than 100 examinations of investment companies. The Division also conducted hundreds of outreach calls to investment companies and advisers to assess market impacts of the COVID-19 pandemic. The 2021 priorities are grouped into the following categories, each of which is described below in more detail: ....