Found inside – Page 237United Nations Environment Programme Finance Initiative Asset Management Working Group and the United Kingdom Social ... Advisory Committee on Corporate Disclosure, 9 S.E.C. Docket 672 (18 May 1976) (Solicitation of Public Comments). —. The meeting will be held by remote means and is open to the public. I have said it before and I will say it again: investors are using ESG-related metrics to make investment decisions and to allocate capital more than ever. [5] See Sec. Cooley LLP USA March 22 2021 On Friday, the SEC's Asset Management Advisory Committee met to discuss various matters, . Summary. Found inside – Page 11Another view is that tender offers benefit shareholders by optimizing the value of their shares , and benefit society by assuring optimum efficiency in the deployment of assets . The Advisory Committee on Tender Offers rejected both ... I look forward to your thoughts about how the workforce in the asset management industry can better represent the great diversity of our nation. Washington D.C., July 2, 2021 —. Found inside – Page A-15THE PRESIDENT Relating to the Transfer of Certain Advisory Committee Functions Executive Order 12024 December 1 ... Office of Management and Budget and its Director to the Administrator of General Services is hereby effective . Sec . 2. Recommendations for Consideration by the Asset Mgmt. Found inside – Page 752( DFO ) in accordance with the Federal Advisory Committee Act , as amended ( 5 U.S.C. App . ) ( FACA ) . ... The Senior Real Property Officer shall develop and implement an agency asset management planning process that meets the form ... ICI Applauds Creation of SEC Asset Management Advisory Committee. Conflicts of interest in the advisory industry, particularly with respect to fees and expenses, continue to be at the forefront of the regulatory and enforcement agenda of the U.S. Securities and Exchange Commission ("SEC"). 6LinkedIn 7 Pinterest 8 Email Updates, https://www.sec.gov/files/amac-recommendations-di-subcommittee-070721.pdf. I think investors should be able to drill down to see what’s under the hood of these funds. And thank you to the staff of the Division of Investment Management for doing the same. The Securities and Exchange Commission today released the agenda for the inaugural meeting of the Asset Management Advisory Committee, which will be held on Jan. 14, 2020, at 9 a.m. The committee may address topics including trends and developments affecting . Many of the world's leading enterprises turn to Davis Polk for advice on their most sensitive environmental, social and governance (ESG) matters. The Recommendations are intended to improve the available information . Prepared Remarks Before the Asset Management Advisory Committee. Sept. 16, 2020 | 9:00 am ET Webcast archive will be posted soon. Found inside – Page 149What regulatory jurisdiction does the SEC have over transactions which involve the exchange of assets of real estate ... In January , 1973 , the SEC's Advisory Committee in Investment Management Services for Individuals reviewed the ... ESG Asset Managers and Investment Funds - Near-Term SEC Enforcement Risk. 18 In December 2020, the ESG Subcommittee of the SEC Asset Management Advisory Committee recommended the SEC to adopt standards for corporate . [7] See Transcript of Meeting of the Asset Mgmt. A lot has happened in our capital markets in the past two decades, though. As a further indication of the SEC's focus on the asset management industry, on November 1, 2019 the Commission formally established an Asset Management Advisory Committee. Use the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov. For other Jewish Americans see Lists of Jewish Americans.Main article List of Jewish American businesspeopleFinanceSee also Economists and History of investment banking in the United States Jewish investment banks.mw-parser-output .tmulti .thumbinnerdisplayflexflex-directioncolumn.mw-parser-output . STAY CONNECTED July 7, 2021. So something I would be interested in hearing more about is what information about the private markets you think is missing. the late 2020 preliminary recommendations of the SEC Asset Management Advisory Committee's ESG Sub-Committee and/or Diversity & Inclusion Sub-Committee; and/or Commissioner Lee's November 2020 suggestion that the SEC consider "rules that would require advisers to maintain and implement policies and procedures governing their approach to . The recommendations were made to the SEC in an effort to create more transparency for investors, improve the data and disclosure used for ESG investing, and allow . Acting Chair Lee also cited recent recommendations by the SEC Investor Advisory Committee and the ESG Subcommittee of the SEC Asset Management Advisory Committee for ESG-related disclosure standards. Katten Financial Services. Beyond the topics you’re discussing today, our unified agenda, published last month, touches on a number of areas related to asset management — from money market fund reforms, to private funds, to proxy voting. At the December 1, 2020 SEC meeting the ESG subcommittee of the Asset Management Advisory Committee (AMAC) introduced a preliminary set of potential reporting and disclosure recommendations that would apply broadly to issuer ESG disclosures as well as to ESG investment product disclosures. Some key questions were identified during your previous meeting earlier this year: how does personalization of help or guidance change the definition of investment advice and what are the risks, and opportunities, associated with AI driven personalization. Regardless of the kind of fund, I believe investors benefit from seeing the criteria and data underlying investment decisions. Good morning. Gary Gensler's Prepared Remarks Before the Asset Management Advisory Committee. The views expressed in the post are those of Chair Gensler, and do not necessarily reflect those of the Securities and Exchange Commission or the Staff. -. I look forward to hearing more about how the Commission could work to achieve that end. Found inside – Page 149In January , 1973 , the SEC's Advisory Committee in Investment Management Services for Individuals reviewed the status of individual portfolio management services under the securities laws and recommended that the Commission revise its ... The SEC Asset Management Advisory Committee adopted recommendations developed by the Environmental, Social and Governance ESG Subcommittee related to disclosures, intended to improve information . The high-profile, 23-member committee includes top executives and investment managers at some of the country's largest banks . Send paper submissions to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, D.C. 20549-1090. Found insideLooking farther into history, the work treats several key episodes prior to the New Deal, including the English financial crises of 1697 and 1720 and the "blue sky” era of the 1910s and 1920s in the United States. Advisory Comm. I'm grateful for your time and willingness to . These third-party companies offer tools, such as ratings, which often make sustainability-related claims as well. July 7, 2021. The national consortium for the business reporting standard . Posted by ValueEdge blog staff on July 10, 2021. "To get to . Found inside – Page 3128 1 SEC . 207. EXEMPTION FROM FACA . 2 The Federal Advisory Committee Act ( 5 U.S.C. App . ) 3 shall not apply to the Commission if all hearings ... 13 TITLE III — INDIAN TRUST ASSET 14 MANAGEMENT DEMONSTRA15 TION PROJECT ACT 16 SEC . [2] See SEC Asset Management Advisory Committee - Subcommittee on Diversity and Inclusion, “Recommendations for Consideration by the AMAC on July 7, 2021,” available at https://www.sec.gov/files/amac-recommendations-di-subcommittee-070721.pdf. The latest version of subcommittee draft recommendations do not advocate a change from the current materiality disclosure requirements. Found inside – Page vFairbanks , AK Heritage Education Ctr . , Sec . 141 , Title I , Div . ... 364 13316 September 17 , 2003 Continuance of Certain Federal Advisory Committees . 368 13327 February 4 , 2004 Federal Real Property Asset Management . July 7, 2021. I have asked SEC staff to consider ways that we can enhance such transparency. Found inside – Page 82A Study Prepared for the Use of the Subcommittee on Oversight and Investigations of the Committee on Energy and ... the foregoing the amounts of such , payments which might be statements of the Special Advisory Committee prevented . I agree with the Diversity and Inclusion Subcommittee that the quantitative data reveals a startling picture and puts forth a compelling case for action. (Mar. Blass emphasized that the AMAC consists of members from different backgrounds, sectors and geographies within asset management, which will help the SEC address trends and risks. Some funds involve human judgments about the kinds of investments that would do best under a “net-zero” economy. 7 The Asset Management Advisory Committee (AMAC) established a sub-committee to review matters concerning ESG investment products and make recommendations regarding these products for consideration by the AMAC. Gensler Calls for Better Fund Disclosure. If a fund’s name suggests a certain investment focus, investors expect investment in that area. Found inside – Page 3PE sec news digest iš Issue 79-131 COMMISSION ANNOUNCEMENTS MEETING OF THE SEC ADVISORY COMMITTEE ON OIL AND GAS ... PRIVATE NONINSURED PENSION FUNDS , 1978 The assets of private noninsured pension funds totaled $ 202.2 billion at book ... SEC asset management advisory committee Blog PubCo @ Cooley. Others might track an outside index. The AMAC was formed to provide the SEC "with diverse perspectives on asset management and related advice and recommendations. [1] Suffice it to say there are hundreds of funds and potentially trillions of dollars under management in this space. Bryan Jenkins, Hamilton Lane, began his presentation. I'm grateful for your time and willingness to give us advice on the asset management . Found inside – Page xxviiiHe served as president and chief investment officer of Invesco Asset Management, Japan; CEO and co-CIO of Invesco Global ... Rogers is a director of numerous boards, endowments and advisory committees in both the not-for-profit and ... Found insideThis vision draws from and builds on the 2030 Agenda and the Sustainable Development Goals. It explores who has been left behind in human development progress and why. 6LinkedIn 7 Pinterest 8 Email Updates. Some of these funds screen out certain industries, like fossil fuels, tobacco, or nuclear energy. May 2, 2018. Found inside – Page 13However , the Committee should exercise caution because ostensible " defensive tactics " may actually be legitimate management decisions that are necessary to prevent asset dissipation and that would be undertaken even if the hostile ... By. Here we cover the August 6, 2021, SEC order approving diversity disclosure rules proposed by The Nasdaq Stock Market LLC (Nasdaq) and the public responses of SEC Commissioners. STAY CONNECTED [7] Something I am interested in considering further is the line between personalization and a recommendation that is subject to regulation best interest. Found inside – Page 225Donohue, Andrew J., SEC Chief of Staff, May 20, 2016, “New Directions in Corporate Compliance: Keynote Luncheon Speech ... Guide to Broker-Dealer Compliance, Report of the Broker-Dealer Model Compliance Program Advisory Committee to the ... What does “fat-free” mean? I'm grateful for your time and willingness to give us advice on the asset management . This book explores various regulatory, legal, and competitive pressures that the U.S. securities industry is facing as a result of the intense regulatory scrutiny of the modern electronic marketplace and the heated public debate stirred by ... Renee LaRoche-Morris, chief operating officer of BNY Mellon Investment Management, has become the newest member of the Securities and Exchange Commission's Asset Management Advisory Committee . They would also aim to stamp out product mis-selling and establish standardized language around sustainable investing, Gensler told the SEC's Asset Management Advisory Committee. Found inside – Page 7-62Indeed, the proxy disclosure process is largely built around principles of management integrity, principles that do ... in remarks at an Asset Management Advisory Committee meeting, the Chairman of the SEC indicated that while one or ... 100 F Street NE, Washington, D.C. 20549-1090. The question for the Commission, as the ESG Subcommittee has identified, is how to ensure that ESG-related disclosures are consistent, comparable, high-quality, and decision-useful. Advisory Comm. Found inside – Page 1252Sec . 1117. State freight advisory committees . Sec . 1118. State freight plans . Sec . 1119. Federal lands and tribal ... Sec . 1203. National goals and performance management measures . ... Transit asset management . Sec . 20020. With that, I look forward to the discussion today and, again, thank you for your commitment and dedication to these important issues. Thank you for the kind introduction. The SEC's newly formed Asset Management Advisory Committee plans to hold its first meeting at the agency's Washington headquarters on Jan. 14. 1 Twitter 2 Facebook 3RSS 4YouTube As a further indication of the SEC's focus on the asset management industry, on November 1, 2019 the Commission formally established an Asset Management Advisory Committee. The SEC's Asset Management Advisory Committee approved both the diversity and ESG proposals unanimously by voice votes. XBRL US is a not-for-profit organization supporting the implementation of digital business reporting standards through the development of taxonomies for use by U.S. public and private sectors, with a goal of interoperability between sectors, and by promoting XBRL adoption through marketplace collaboration. I enjoyed chatting with you a couple of weeks ago, Ed, and it’s good to meet with the whole committee for the first time. Gary Gensler is Chair of the U.S. Securities and Exchange Commission. The Securities and Exchange Commission (SEC) threw down the gauntlet after President Biden's election and asserted its . Branch Chief, or Angela Mokodean, Branch Chief, at (202) 551-6720, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE, Washington DC 20549-3628. To me, it may well be a distinction without a meaningful difference. Investors get a window into the criteria used by the asset managers for the fund, and the data that underlies the name. In Part 1 of this post, we focused on the July 7, 2021, recommendations for funds and advisers from the Diversity and Inclusion (D&I) Subcommittee of the SEC's Asset Management Advisory Committee (AMAC). July 7, 2021. Washington, D.C.--(Newsfile Corp. - October 9, 2019) - The Securities and Exchange Commission today announced the formation of its Asset Management Advisory Committee.The committee was formed to . See SEC Asset Management Advisory Committee, "Potential Recommendations from the ESG Subcommittee," December 1, 2020. Found inside – Page 64In fiscal year 2013, the SEC OIEA published 26 investor alerts and bulletins. ... review of specific aspects of the asset management industry also as a result of internal concerns as well as discussions at FSOC in connection with asset ... I look forward to hearing the readouts from your various subcommittees on environmental, social, and governance investing; diversity and inclusion; and private investments. Remarks at Asset Management Advisory Committee Meeting. Additional Materials . In remarks Friday before a meeting of the SEC's Asset Management Advisory Committee, Republican SEC member Hester Peirce asserted that ESG risks are not relevant for every company. Found inside – Page 298COMMITTEES. AND. INFORMAL. GROUPS. The SEC from time to time forms advisory committees. Each committee is asked to provide ... ''Best Practices for the Hedge Fund Industry'' was prepared by the Asset Managers' Committee, comprised of ... On July 7, the Securities and Exchange Commission (SEC) Asset Management Advisory Committee (the Committee) adopted recommendations developed by the Environmental, Social and Governance (ESG) Subcommittee regarding ESG disclosure by registered issuers (the recommendations). 1 The SEC formed FIMSAC to provide advice to the SEC on the efficiency and resiliency of the fixed income markets and identify opportunities for regulatory improvement. The Biden Plan for a Clean Energy Revolution and Environmental Social Justice. First, on sustainability, I’d like to discuss fund disclosure and fund names. These remarks were delivered on July 7, 2021, by Gary Gensler, chairman of the U.S. Securities and Exchange Commission, before the Asset Management Advisory Committee. The meeting will include a discussion of matters in the asset management industry relating to: (1) the ESG, Diversity & Inclusion, and Private Investments Subcommittees, including potential recommendations from those Subcommittees; and (2) the Evolution of . I enjoyed chatting with you a couple of weeks ago, Ed, and it's good to meet with the whole committee for the first time. Advisory Comm. The amount of capital raised via exempt offerings outpaces the amount raised in the public markets. Snippet. Together, I think updates to fund disclosures and to naming conventions could bring needed transparency to the asset management industry, particularly in light of the significant growth in the sustainability area. Topics the committee may address include trends and developments affecting investors and market participants, the effects of globalization, and changes in the role of technology and service providers. A fund’s name is one of the first pieces of information that investors see. As part of the most recent meeting of the Asset Management Advisory Committee on Friday, March 19, 2021, SEC Commissioner Roisman urged a careful and incremental approach to climate change . Recommendations of the Diversity and Inclusion Subcommittee, 12:15 p.m. The latest version of subcommittee draft recommendations do not advocate a change from the current materiality disclosure requirements. When it comes to sustainability-related investing, though, there’s currently a huge range of what asset managers might mean by certain terms or what criteria they use. Many funds use terms like “green” or “sustainable.” Even though those terms are a little less objective than “fat-free” milk, still, those labels say a lot to investors. I am also looking forward to hearing about the Committee’s ideas regarding private investment. Prepared Remarks Before The Asset Management Advisory Committee, SEC Chair Gary Gensler, July 7, 2021. On a related note, as the asset management industry has evolved, the use of third-party service providers has grown. The report also finds that the Commission has a role to play in promoting diversity and inclusion in the asset management industry. On July 7, 2021, the Securities and Exchange Commission (SEC) Asset Management Advisory Committee (AMAC) proposed five recommendations to improve the data and disclosure used for environmental, social, and governance (ESG) investing. 4 . Your subcommittee’s recommendations note that women and people of color “remain dramatically underrepresented…at the board and senior management levels within asset management firms and fund complexes,” as well as at the fund ownership level.[2]. I enjoyed chatting with you a couple of weeks ago, Ed, and it's good to meet with the whole committee for the first time. . The SEC Asset Management Advisory Committee Subcommittee on Private Investments unambiguously recommended expanding retail investor access to private investments, subject to key design principles, via an interim report dated July 7, 2021. Next, I’d like to discuss diversity and inclusion. ESG Remains a Priority: SEC Asset Management Advisory Committee Adopts ESG Disclosure Recommendations. [1] See US SIF, “Sustainable Investing Basics,” available at https://www.ussif.org/sribasics. [6] SeeStaff, Sec. The SEC Continues Its Regulatory Focus on Advisory Fees and Expenses. In his statement, Bernard echoed his gratitude to the SEC and members for the formation of the AMAC. It is critical that the Commission continue to work to identify and dismantle barriers that directly or indirectly result in discrimination. SEC Commissioner Speaks at Asset Management Advisory Committee Meeting By Hester M. Peirce March 22, 2021 by renholding Good morning to you all and thank you Ed [Bernard]. July 7, 2021. That 80 percent policy pertains to investment types, as distinguished from investment strategies. Leave a Reply Cancel reply Your email address will not be published. Found inside – Page 141THE PRESIDENT Relating to the Transfer of Certain Advisory Committee Functions Executive Order 12024 December 1 ... Office of Management and Budget and its Director to the Administrator of General Services is hereby effective . Sec . 2. This gets to the heart of the SEC’s mission to protect investors and efficiently allocate capital. On July 7, the Securities and Exchange Commission (SEC) Asset Management Advisory Committee (the Committee) adopted recommendations developed by the Environmental, Social and Governance. Please submit comments using one method only. & Exch. The agency last updated naming conventions in 2001, under the Names Rule. The recommendations aim to improve the available information and . Asset Management Advisory Committee. Investor Advisory Committee (IAC) The committee provides the Commission with diverse perspectives, advice, and recommendations on regulatory priorities, the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace. Acting Chair Lee also cited recent recommendations by the SEC Investor Advisory Committee and the ESG Subcommittee of the SEC Asset Management Advisory Committee for ESG-related disclosure standards. & Exch. July 7, 2021. Thank you all for the time, thoughtfulness, and energy that you bring to your work on this committee. Found inside – Page 14-98In April 2013, the Investor Advisory Committee issued a recommendation that the SEC develop a risk-based glide path illustration as a replacement for, or supplement to, the proposed asset allocationbased illustration.291 Consequently, ... ET. Information that is submitted will become part of the public record of the meeting. SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee . Found inside – Page 99For example , several federal agencies — including both the SEC and CFTC - utilize a range of advisory committees . ... all major sectors of the capital markets , and include one or more members representing funds and asset managers . Found inside – Page vFairbanks , AK Heritage Education Ctr . , Sec . 141 , Title I , Div . ... 364 13316 September 17 , 2003 Continuance of Certain Federal Advisory Committees . 368 13327 February 4 , 2004 Federal Real Property Asset Management . * * * Asset Management Advisory Committee - Agenda for . As there’s not a standardized meaning of these sustainability-related terms, I’ve asked staff to consider recommendations about whether fund managers should disclose the criteria and underlying data they use. The staff of the Securities and Exchange Commission's (the "SEC") Division of Examinations (the "Division") published a risk alert on April 9, 2021, 1 highlighting observations of the Division staff (the "Staff") from its recent examinations of investment advisers, investment companies, and private funds that offer environmental, social, and governance ("ESG") investment . In a meeting of the SEC Asset Management Advisory Committee ("AMAC"), SEC Chair Gary Gensler questioned the basis for marketing claims that a fund is "green" or "sustainable." In his remarks, Mr. Gensler emphasized the need for greater transparency into the basis for claims that a fund is "green" or "sustainable," noting that he had requested that SEC staff consider whether fund managers . Found inside – Page 149In January , 1973 , the SEC's Advisory Committee in Investment Management Services for Individuals reviewed the status of individual portfolio management services under the securities laws and recommended that the Commission revise its ... Advisory Comm. Thank you for the kind introduction. On July 7, the Securities and Exchange Commission (SEC) Asset Management Advisory Committee (the Committee) adopted recommendations developed by the Environmental, Social and Governance (ESG) Subcommittee related to ESG disclosure by registered issuers (the Recommendations). Found insideRecent SEC initiatives directed at the industry include, among others, the following: The creation of an Asset ... an internal SEC Enforcement Advisory Committee has been established, with Deputy Director of the Enforcement Division. 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