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Greenwashing detracts from the long-term benefits of genuine ESG-based investment and risk management, and regulators are right to stamp it out.
This post is not intended to be a comprehensive summary of the Safeguarding Rule. Rather, it is intended to highlight some of the key requirements for fund managers should the SEC adopt the rule...
On Feb. 15, 2023, the Securities and Exchange Commission (Commission) proposed a new rule for registered investment advisers that would replace Rule 206(4)-2 (current rule) under the Investment Advisers Act of 1940 (Advisers Act) with new Rule 223-1 under the Advisers Act (proposed rule) and make related changes to the Rule 204-2, which governs investment adviser books and records, and Form ADV.
On February 15, 2023, the SEC adopted amendments to Exchange Act Rule 15c6-1 to shorten the settlement cycle of most securities
True investor protection involves proactively creating a predictable regulatory regime.