SEC emphasizes probing ESG, marketing rule, Reg BI compliance
The agency’s other examination priorities for this year include RIAs who manage private funds, ESG investing and crypto
Author: Mark Schoeff Jr.
-
-
Regulatory agenda sets April, October for SEC ESG rules
The SEC also has custody and ETF regulations ahead, while the DOL works on the next iteration of a rule for retirement accounts
-
Gensler stands ground on climate disclosure despite lawmaker concerns
A senator questioned the SEC’s authority to promulgate the rule
-
Sharp exchanges at hearing illuminate debate on SEC’s oversight of ESG
GOP lawmaker grills SEC enforcement director on how the agency can crack down on ESG
-
SEC chair Gensler defends ESG proposals
Gary Gensler tells ICI conference agency’s goal is to give investors more and better information
-
BNY Mellon ordered to pay $1.5m for overpromising on ESG
Not all holdings in the company’s ESG funds were vetted as the labels advertised them to be, the SEC said
-
SEC extends comment period on climate disclosure proposal
Chairman Gary Gensler has been under pressure from Republican lawmakers and trade associations
-
ESG, Reg BI top SEC’s examination priorities
The SEC will watch greenwashing, and it will probe revenue sharing, 12b-1 fees and wrap-fee accounts
-
Advisers, experts welcome more climate-risk transparency for companies
The SEC’s proposed regulations would help connect severe climate activity to business costs
-
SEC proposes mandatory climate-risk disclosures for public companies
The vote to release the proposal shows a deep divide at the agency
-
DOL seeks public input on protecting retirement savings from climate risks
The request for information comes as the agency is working on a separate final rule on the use of ESG in retirement accounts
-
House approves legislation requiring ESG disclosures
The Democratic majority barely prevailed, while SEC Commissioner Allison Herren Lee said the agency could propose a climate-risk rule by year-end. The vote came a day after a Securities and Exchange Commission deadline for public comment.