US: SEC proposes new ESG rules for fund managers and advisers
Driven by concerns about greenwashing, the US Securities and Exchange Commission (SEC) has issued two new ESG-related proposals that...
About Me
I counsel private funds and their managers on operational, regulatory and compliance matters. My practice covers compliance with a broad range of U.S. regulations, and I have extensive experience advising private fund managers on issues related to the U.S. Investment Advisers Act, insider trading laws, conflicts of interest, business continuity, advertising and marketing in the U.S., and anti-money laundering. I have represented numerous private fund managers in SEC examinations. I also regularly advise on SEC registration (and exemptions) and implementing strong and practical compliance programs.
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US: SEC brings “greenwashing” enforcement action against investment adviser of mutual funds
On May 23, 2022, the U.S. Securities and Exchange Commission settled charges against an investment adviser for misstatements and...
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