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Filter By DEI Resources
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State AGs Send Subpoenas, Investigative Demands to Asset Managers on ESG Practices
Over the past month, multiple state attorneys general have sent subpoenas or civil investigative demands …
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MFDF Webinar: Latest Updates in Mutual Fund Litigation and Enforcement
Tomorrow, June 6 at 2:00pm ET partners with Dechert’s financial services practice plan to review mutual …
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SEC Issues LIBOR-Transition Related Risk Alert
Recently, the Securities and Exchange Commission released a Risk Alert highlighting observations from …
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Sidley Austin’s Jay Baris Hosts “Mutual Fund Minute” Podcast
Jay Baris, a partner in Sidley Austin’s New York office has started highlighting important background …
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SEC Chair Gensler Delivers Remarks on Financial Market Risk, Resilience
SEC Chair Gary Gensler delivered remarks entitled “Lessons from Mrs. O’Leary’s Cow” which focused on …
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New York Attorney General Releases Legislative Language to Regulate Digital Assets at the State Level
According to a press release from the Attorney General’s office, the bill would “require independent …
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Ropes & Gray Announces 2023 Webinar Series on ESG and Asset Management
Beginning on Thursday, May 25 and running through August, Ropes & Gray will host a series of webinars …
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Stradley Ronon’s FinTech Practice Group Chair Authors Article on Digital Asset Custody for 40 Act Funds
Stradley Ronon’s Fintech Practice Group Chair and Derivatives & Commodities Group Co-Chair Susan …
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SEC Charges Trustees, Adviser with Liquidity Rule Violations
The Securities and Exchange Commission announced charges against Pinnacle Advisors LLC for “aiding and …
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Brookings Institute Releases Article on Bank Oversight After Recent Volatility
In the article, “Rethinking bank oversight in the wake of recent banking turmoil” the authors' note that …
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UPDATED: SEC to Host Investment Management Program on Emerging Trends
The SEC’s Division of Investment Management recently updated an agenda for the Division's inaugural program …
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Ropes & Gray Releases Podcast on Data and Cybersecurity
The Ropes & Gray series focuses on the legal and regulatory developments in the world of data, …
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FSOC Issues Request for Comment on Guidance for Non-Bank Financial Companies, Financial Stability Risks
The Financial Stability Oversight Council (FSOC) proposed new rules to assess financial stability risks …
- Webinar Archive: Overview of ETF Product Landscape
- Webinar Archive: Taking a Position: How MFDF Works with Members to Respond to Regulatory Changes and Director Needs
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Deloitte Releases Alternative Investment Digest for Advisers and Fund Directors
Deloitte recently released a digest for mutual fund directors and investment advisers covering the oversight …
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MFDF Webinar: Overview of the ETF Product Landscape
Tomorrow, the Mutual Fund Directors Forum plans to host a webinar entitled “Overview of ETF Product …
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SEC Chair Gensler Testifies at House Financial Services Committee Oversight Hearing
Securities and Exchange Commission Chair Gary Gensler testified before members of the House Financial …
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SEC to Host Investment Management Program on Emerging Trends
The SEC’s Division of Investment Management announced an inaugural program entitled, “Conference on Emerging …
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Ropes & Gray Offers Platform for Tracking State-Level Regulation of ESG Investment
Ropes & Gray established a platform dedicated to tracking state regulation of ESG investments. The tracker …