Tag: ESG

Art by Jackson Epstein

Investment Product and Service Launches

Victory Capital expands VictoryShares ETF offerings; RetireOne and Midland National launch portfolio retirement income guarantee solution; Transamerica broadens availability of stable value option; and more.

Art by Jackson Epstein

Investment Product and Service Launches

Vanguard to launch two active funds, reopen Wellington fund; As You Sow issues corporate 401(k) sustainability scorecard; MIM broadens investor access to public fixed income strategies; and more.

FINRA Project Examines How Regulators Can Support Diversity

Suggestions from the industry include eliminating the 180-day enforced waiting period triggered by a third failed ‘top off’ examination, involving community colleges in the licensing process and making remote services a permanent feature of FINRA’s testing approach, even after the COVID-19 pandemic ends.

Upcoming Webinar: ESG and ERISA Plans

We will discuss how asset managers are putting environmental, social and governance investing themes to work. Particular attention will be paid to the regulatory environment and the potential to pursue greater investment returns by seeking out companies with higher ESG ratings.

Reading Into the SEC’s 2021 Enforcement Priorities

The ongoing implementation of Regulation Best Interest gets top billing in the SEC’s recently published 2021 examination priorities list, though recent evidence suggests the regulator’s focus on share class disclosures remains a chief concern.