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The SEC's Latest Risk Alert Puts ESG Investing In The Crosshairs - Corporate/Commercial Law

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The Securities and Exchange Commission s (SEC, or
Commission) Division of Examinations (Division) recently issued a
Risk Alert highlighting staff observations from
examinations of investment advisers, registered investment
companies and private funds (firms) engaged in environmental,
social, and governance (ESG) investing. This article summarizes the
Risk Alert, including focus areas and observations of
deficiencies and internal control weaknesses, as well as
recommendations of
effective practices relating to ESG
investing that may be helpful in developing and enhancing a
firm s compliance practices.
As investor demand for ESG information rises, the need for ....

Elad Roisman , Gary Gensler , Hester Peirce , Exchange Commission , Commission Division Of Examinations , Development Goals , Risk Alert , Responsible Investment , Commissioner Hester Peirce , Commissioner Elad Roisman , Chair Gary Gensler , எலத் ரோஸ்மேன் , ஹெஸ்டர் பியர்ஸ் , பரிமாற்றம் தரகு , தரகு பிரிவு ஆஃப் தேர்வுகள் , வளர்ச்சி இலக்குகள் , ஆபத்து எச்சரிக்கை , பொறுப்பு முதலீடு , ஆணையர் ஹெஸ்டர் பியர்ஸ் , ஆணையர் எலத் ரோஸ்மேன் ,

The SEC's Latest Risk Alert Puts ESG Investing in the Crosshairs | Akin Gump Strauss Hauer & Feld LLP

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The Securities and Exchange Commission’s (SEC, or Commission) Division of Examinations (Division) recently issued a Risk Alert highlighting staff observations from examinations of investment advisers, registered investment companies and private funds (firms) engaged in environmental, social, and governance (ESG) investing. This article summarizes the Risk Alert, including focus areas and observations of
deficiencies and internal control weaknesses, as well as recommendations of
effective practices relating to ESG investing that may be helpful in developing and enhancing a firm’s compliance practices.
As investor demand for ESG information rises, the need for investment firms to align their disclosure with actual practice and to integrate compliance personnel into their ESG-related practices will continue to grow. ....

Elad Roisman , Gary Gensler , Hester Peirce , Exchange Commission , Akin Gump Strauss Hauer Feld , Commission Division Of Examinations , Akin Gump Strauss Hauer , Risk Alert , Responsible Investment , Sustainable Development Goals , Commissioner Hester Peirce , Commissioner Elad Roisman , Chair Gary Gensler , எலத் ரோஸ்மேன் , ஹெஸ்டர் பியர்ஸ் , பரிமாற்றம் தரகு , தரகு பிரிவு ஆஃப் தேர்வுகள் , ஆபத்து எச்சரிக்கை , பொறுப்பு முதலீடு , நிலையான வளர்ச்சி இலக்குகள் , ஆணையர் ஹெஸ்டர் பியர்ஸ் , ஆணையர் எலத் ரோஸ்மேன் ,

SEC's Division of Exams on AML Compliance | Dorsey & Whitney LLP

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Money laundering compliance is a critical area for banks, broker-dealers and others in the financial world. The importance of this area was recently highlighted by the passage of the Corporate Transparency Act or CTA to bolster the requirements. Indeed, Kenneth Blanco, the Director of the Financial Crimes Enforcement Network or FinCEN recently hailed the Act as a “landmark piece of legislation that will bolster the Untied States’ national security and help better protect the communities and people of this great country.” Kenneth A. Blanco, Remarks at Florida International Bankers Association AML Compliance Conference (March 22, 2021). FinCEN is preparing to write new regulations to implement the new legislation. ....

United States , Kenneth Blanco , Kennetha Blanco , Bank Secrecy , Florida International Bankers Association , Financial Crimes Enforcement Network Or Fin , Commission Division Of Examinations , Exchange Act Rule , Dorsey Whitney , Corporate Transparency Act , Financial Crimes Enforcement Network , Untied State , Risk Alert , Issues Related , Suspicious Activities Monitoring , Act Rule , Bank Secrecy Act , ஒன்றுபட்டது மாநிலங்களில் , கெநெத் ப்ளான்க்கோ , புளோரிடா சர்வதேச வங்கியாளர்கள் சங்கம் , நிதி குற்றங்கள் அமலாக்கம் வலைப்பின்னல் அல்லது துடுப்பு , தரகு பிரிவு ஆஃப் தேர்வுகள் , பரிமாற்றம் நாடகம் ஆட்சி , டோர்ஸி விட்னி , பெருநிறுவன வெளிப்படைத்தன்மை நாடகம் , நிதி குற்றங்கள் அமலாக்கம் வலைப்பின்னல் ,

SEC To 'Expand' Scope of Reg BI Exams in 2021

SEC To Expand Scope of Reg BI Exams in 2021
While previous exams looked at good faith efforts by firms to comply, next year the commission will focus on specific rule requirements that go beyond suitability standards.
After gauging firms’ compliance with Regulation Best Interest by ‘good faith’ efforts made since it was implemented earlier this year, the SEC will conduct “more focused examinations” in 2021, according to a statement from the Commission’s Division of Examinations.
“Building on staff’s initial assessments, Division staff intends to expand the scope of examinations in 2021 that focus on specific requirements of the Regulation, including those that go beyond suitability standards and require broker-dealers to have a reasonable basis to believe that recommendations are in retail customers’ best interests,” the statement said. “The Division also intends to conduct enhanced transaction testing designed to examine whether broker ....

Jim Wrona , Jay Clayton , Commission Division Of Examinations , Regulation Best Interest , Chair Jay Clayton , ஜிம் விறோன , ஜெய் களிமண் , தரகு பிரிவு ஆஃப் தேர்வுகள் , ஒழுங்குமுறை சிறந்தது ஆர்வம் , நாற்காலி ஜெய் களிமண் ,