SEC Votes to Propose Updated Fund Name Rules, ESG Disclosures for RIAs
Wednesday was a busy day for the U.S. Securities and Exchange Commission, which voted to propose two separate regulations that...
Tag: ESG
SEC Names Director of Division of Examinations
Leaders at the SEC say the role of the examinations program is critical for capital markets to function well and...
BNY Mellon Adviser Settles SEC Charges Over Greenwashing, Pays $1.5 Million Penalty
Case focused on misstatements and omissions regarding ESG offerings.
Finding the Intersection of ESG and Performance
Identifying companies with positive ratings is not enough, experts agree, as companies’ financial positions must also be considered.
Taking Stock of the SEC’s Ambitious Climate Agenda
Now that the financial services industry has had some time to digest the 500-plus pages of proposed rulemaking text, compliance experts are offering insight about exactly what the...
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Talking Points
of respondents in a recent study by Fidelity Investments said they kept their financial resolutions for 2021, up from 58% in 2020. This suggests that actions taken at...
Investment Product and Service Launches
Pershing and Pacific Life make fee-only annuities available to RIAs; ISS ESG launches labels and standards solutions; Xtrackers by DWS...
Investment Product and Service Launches
Nasdaq Fund Network adds new 529 plan share classes; AllianceBernstein and Vestmark unveil custom municipal solutions platform; Vanguard bolsters roster...
Investment Product and Service Launches
Vanguard to expand ESG lineup; TIAA offers lifetime income for corporate retirement market; and MSCI announces alliance with Menai Financial...
Investment Product and Service Launches
DPL introduces new asset allocation option for RIAs; Vanguard expands target retirement lineup for youngest retirement investors; State Street Global...
Investment Product and Service Launches
AllianzIM debuts second buffered outcome ETF and new upside caps for January series; T. Rowe Price acquisition expands alternative investment market footprint; and more.
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An ESG Framework Here to Stay?
The DOL’s proposed rule on ESG investing supports broader use of green options in retirement plans and removes barriers put...
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The Greening of Proxy Voting
ESBA’s rule, making voting more transparent, will call for new adviser services.
J.P. Morgan: Doing Well and Doing Good Are Compatible
Historically, investors tended to consider ESG factors either to increase risk-adjusted returns (doing well) or to achieve sustainable outcomes (doing good). A new analysis suggests there is no...
Op-Ed: ERISA Prudence Demands Healthy ESG Skepticism
Neal Shikes agrees that ESG factors can be an important part of institutional investors’ methodologies, but he also says retirement...
Could This Be a DOL ESG Framework That’s Here to Stay?
In addition to the important practical takeaways of the DOL’s proposed rule on ESG investing and proxy voting, sources say...
DOL Announces Anticipated ESG Fiduciary Investing Rule
Agency leaders say the principal idea of the new proposal is that climate change and other ESG factors can be financially material and, when they are, considering them...
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...
Investment Product and Service Launches
Fidelity launches real-time fractional and share trading to advisers; BlackRock rolls out private market tool; abrdn presents new industrial metals...
ESG and Shareholder Rights Rule Under White House Review
The language of the regulation has not yet emerged, but the title published by the Department of Labor suggests it will address both ESG and proxy voting matters.