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21 Jun 2021, 6:14 am
She also mentioned that Chair Gary Gensler has foreshadowed potential new rulemaking proposals on ESG issues in the second half of 2021.Jeffries said that ESG and climate-related disclosure violations are being examined under the Commission’s existing framework. [read post]
22 May 2023, 5:53 am
The ICI and/or several of its members have met with SEC officials regarding the proposed Fund ESG Rule (and a related fund names proposal) six times since the Commission issued the proposal almost a year ago, including twice with Chair Gary Gensler and SEC staff, and once each with Commissioners Jaime Lizárraga and Mark T. [read post]
31 Mar 2022, 6:39 am
The bulletin, which was praised by Chair Gary Gensler, is intended to assist firms and their professionals with considering reasonably available alternatives and cost, addressing conflicts of interest, and adopting and implementing policies and procedures when making account recommendations.Reg BI vs. [read post]
4 Nov 2021, 7:38 am
Chair Gary Gensler said that he believes SLB14L more closely aligns the staff’s approach with the Commission’s intent behind its 1998 rulemaking on shareholder proposals. [read post]
17 May 2021, 6:32 am
He pointed out that Gary Gensler was sworn in as the new SEC chair only recently and that the Cyber Unit intends to follow his lead and his priorities. [read post]
21 Jan 2022, 6:28 am
Posted by Gary Gensler, U.S. [read post]
3 Sep 2021, 5:46 am
Davis, Kirkland & Ellis LLP, on Saturday, August 28, 2021 Tags: Delaware cases, Delaware law, Due diligence, Joint ventures, Merger litigation, Mergers & acquisitions, New York, Non-competition agreements, State law Statement by Chair Gensler on Broker-Dealer and Investment Adviser Digital Engagement Practices Posted by Gary Gensler, U.S. [read post]
WNN Exclusive: The SEC Whistleblower Program Enriches the Treasury, Not an Inner Circle of Attorneys
4 Oct 2022, 7:32 am
In August, SEC Chair Gary Gensler noted that the whistleblower program “has greatly aided the Commission’s work to protect investors. [read post]
27 May 2022, 6:31 am
Securities and Exchange Commission, on Thursday, May 26, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Greenwashing, Institutional Investors, Materiality, SEC, SEC rulemaking, Securities regulation, Sustainability Statement by Chair Gensler on ESG Disclosures Proposal Posted by Gary Gensler, U.S. [read post]
29 Jul 2022, 6:30 am
Sharfman (Main Street Investors Coalition Advisory Council), on Thursday, July 28, 2022 Tags: Climate change, Comment letters, Disclosure, Environmental disclosure, ESG, Investor protection, Risk, SEC, SEC rulemaking, Securities regulation Remarks by Chair Gensler at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Posted by Gary Gensler, U.S. [read post]
24 Dec 2021, 6:26 am
Securities and Exchange Commission, on Friday, December 17, 2021 Tags: Inside information, Insider trading, Misconduct, Rule 10b-5-1, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Statement by Chair Gensler on Rule 10b5-1 and Insider Trading Posted by Gary Gensler, U.S. [read post]
25 Jun 2021, 5:49 am
Louis), on Thursday, June 24, 2021 Tags: Banks, Financial advisers, Financial institutions, Investment banking, Liability standards, Mergers & acquisitions, Misconduct, Securities fraud, Securities regulation Prepared Remarks by SEC Chair Gensler at London City Week Posted by Gary Gensler, U.S. [read post]
6 Aug 2021, 6:00 am
Eccles (University of Oxford), on Friday, July 30, 2021 Tags: Climate change, Engine No. 1, Environmental disclosure, ESG, ExxonMobil, Institutional Investors, Proxy contests, Shareholder activism, Shareholder voting, Sustainability Trust: A Critical Asset Posted by Don Fancher, Robert Lamm, and Debbie McCormack, Deloitte, on Saturday, July 31, 2021 Tags: Accountability, Board oversight, Boards of… [read post]
31 Oct 2016, 9:30 pm
He also praised Gary Gensler, the former CFTC Commissioner and the likely Treasury Secretary under Clinton, stating that, “in my time, the two toughest regulators were [Gensler] and Sheila Bair. [read post]
15 Jul 2022, 6:29 am
Securities and Exchange Commission, on Thursday, July 14, 2022 Tags: Institutional Investors, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities regulation, Shareholder voting Statement by Chair Gensler on Adoption of Amendments to the Rules Governing Proxy Voting Advice Posted by Gary Gensler, U.S. [read post]
25 Mar 2022, 5:48 am
Securities and Exchange Commission, on Monday, March 21, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Materiality, SEC, SEC rulemaking, Securities regulation, Stakeholders, Sustainability Statement by Chair Gensler on Proposed Mandatory Climate Risk Disclosures Posted by Gary Gensler, U.S. [read post]
27 May 2022, 6:31 am
Securities and Exchange Commission, on Thursday, May 26, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Greenwashing, Institutional Investors, Materiality, SEC, SEC rulemaking, Securities regulation, Sustainability Statement by Chair Gensler on ESG Disclosures Proposal Posted by Gary Gensler, U.S. [read post]
30 Oct 2022, 11:31 am
As the Journal noted in an October 26, 2022 editorial (here), the SEC under Chair Gary Gensler has been issuing regulations “at a furious pace. [read post]
30 Jul 2021, 5:48 am
Posted by Daniele Macciocchi (University of Miami), on Thursday, July 29, 2021 Tags: Corporate Social Responsibility, Environmental disclosure, ESG, Institutional Investors, Responsible investing, Stakeholders, Sustainability Remarks by Chair Gensler Before the Principles for Responsible Investment “Climate and Global Financial Markets” Webinar Posted by Gary Gensler, U.S. [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation Statement by Chair Gensler on Proposed Joint Amendments to Form PF Posted by Gary Gensler, U.S. [read post]
