3 Areas of Focus for SEC's 2023 Examination Priorities

Shannon Bean on 4/20/23 11:30 AM SEC, ESG, Derivatives, SECRegulations

SEC Releases 2023 Examination Priorities

The SEC releases its examination priorities every year to provide insight into potential risk areas that might impact investors. Along with the usual focus on compliance with policies and procedures, client suitability standards, etc., the SEC also highlights specific industry concerns related to the current landscape and new or updated regulation.

Should ESG Factors Be Considered For Retirement Account Investments?

Taylor Carpentier on 4/6/23 12:15 PM ESG, investments, retirement, DepartmentofLabor, ERISA

Image of hands holding a plant and some dirt Photo by <a href="https://unsplash.com/@noahbuscher?utm_source=unsplash&utm_medium=referral&utm_content=creditCopyText">Noah Buscher</a> on <a href="https://unsplash.com/photos/x8ZStukS2PM?utm_source=unsplash&utm_medium=referral&utm_content=creditCopyText">Unsplash</a>

Why Are 25 State Attorney Generals Suing the DOL?

A recent U.S. Department of Labor (DOL) rule that went into effect is facing a legal challenge as attorney generals from 25 states argue that it violates Employee Retirement Income Security Act of 1974's (ERISA’s) mandate that asset managers serve as fiduciaries in managing retirement plan assets.