The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers. The Alert recommends firms consider...

Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers

The most significant change is the addition of “event reporting” upon the occurrence of...

A steady increase in the threat that data breaches pose to individual investors has spurred the Securities and Exchange Commission to revisit the issue of safeguarding customer information.

Embracing Equity and the Power of Awareness, Representation, and Community

As sustainable finance disclosure regulations bring focus on ESG data and analytics, more data is becoming available for investors to assess companies’ performances. This in turn is placing additional pressure...

Inflation and interest rate spikes, the likes of which we haven’t seen in a generation, can cause serious market dislocations and liquidity crunches. Regulators around the world have taken notice. The...

COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance, can be seen as a microcosm of the challenges and debates that have...

This blog was original 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...

The SEC's new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enhances existing disclosure requirements. It will have...