Tag: SRI

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.

Advisers Slow to Respond to ESG Investing Demand

“Providing advisers with materials that can be used to educate clients about a firm’s approach to ESG investing is crucial in increasing adviser adoption,” says Ed Louis, a senior analyst at Cerulli Associates.

A Passionate Defense of ESG Investing from Connecticut Treasurer

While the investing rules controlling the Connecticut public pension fund are different from those governing corporate retirement plans, the argumentation as to why gun manufacturer divestment may be the right thing to do offers some food for thought for anyone charged with the fiduciary management of retirement plan assets.