by David Schwartz J.D. CPA, Executive Director | May 11, 2021 | All, Commentary, Cross-Post
January’s GameStop frenzy, where amateur online retail traders took what they hoped would be a rollicking joyride through the world of high finance, has left regulators scratching their heads about what to do next and the retail buccaneers themselves with quite...
by David Schwartz J.D. CPA, Executive Director | Apr 22, 2021 | All, Commentary, Cross-Post
After nearly twenty years of study, the Securities and Exchange Commission seems poised to rewrite the rules on proxy disclosure for mutual funds. Two SEC commissioners predicted within days of each other that there will be radical revisions to how regulated...
by David Schwartz J.D. CPA, Executive Director | Apr 12, 2021 | All, Cross-Post
Allison Herren Lee, the Securities and Exchange Commission’s acting chair, called for more disclosure and transparency about proxy voting by mutual funds and institutional investors to ensure they line up with shareholder sentiment, particularly environmental,...
by David Schwartz J.D. CPA, Executive Director | Mar 19, 2021 | All, Cross-Post
Interest in ESG investing and the broader area of sustainable finance has exploded over the past few years. Both institutional and retail investors are clamoring for ESG investment options. According to one recent Morgan Stanley survey, 95% of millennials and 85% of...
by David Schwartz J.D. CPA, Executive Director | Mar 19, 2021 | All, Cross-Post
The European Union has embarked on an aggressive legislative push to make environmental, social, and governance (ESG) considerations as a focus of financial services industry regulation. The first salvo in the EU push, the Regulation on Sustainability-Related...
