This blog was originally published at Markets Media on October 7, 2022.
Sustainable investing disclosures in the U.S. are currently governed by general fraud prohibitions in advertising and not by formally defined rules…
In the absence of ESG regulations, investment managers have latitude to define relevant ESG factors when marketing their strategies. Such…
The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…
Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…
This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…
The new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) is effective on May 4, 2021, starting…
In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for investments…
Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund…
On March 3, 2021, the SEC’s Division of Examinations (“Division”) released their examination priorities (“Release”) for 2021. The Release represents…
Every once in a while, I think it’s important to get back to the basics. Since the adoption of the…
