Compliance

Global Infrastructure Partners' fees may have been opaque even to the firm, SEC settlement suggests
The SEC is working on 'consistent, comparable and decision-useful' ESG disclosures for public companies, SEC chair Gary Gensler says, and he's under pressure to expand any new ESG rules to private funds. As governments and industry work toward a universal system, savvy advisers should focus on what matters. An ESG metrics primer: Environmental, social, and governance (ESG) criteria are a group of standards used by socially conscious investors to screen investments.
Gary Gensler’s Securities and Exchange Commission is openly skeptical about private funds, but there are good reasons not to get discouraged.
The intimidation against Neff, a former compliance officer, peaked two years ago, just days before she was due to hold a news conference in New York to talk about her allegations of fraud.
SEC commissioner Caroline Crenshaw
Commissioner at powerful US regulator says it is 'particularly important' for public firms to assess whether internal accounting controls are 'sufficient' when it comes to climate risk.
'Hundreds of billions of dollars in fees and expenses are standing between investors and businesses.'
Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows
Gensler’s overarching goal, he said, is to 'bring more sunshine and competition to the private funds space.'
A guide to getting started on ESG reporting and disclosure, by Victoria Gillespie, who is responsible for fund services firm JTC’s ESG offering.
'I will take a dim view' of 'dilatory or obstructive tactics,' new Enforcement Division Director Gurbir Grewal warns.
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