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SEC Staff Issues Risk Alert on ESG Investing

On April 9, 2021, the SEC Division of Examinations (the “Division”) issued a Risk Alert “to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering [environmental, social, and governance (‘ESG’)] products and services” (collectively, “firms”).

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The AIFMD Third Country Passport – An Update


Time to Read: 1 minutes Practices: Asset Management

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The European Securities and Markets Authority published on 19 July 2016 its final advice to the European Commission on the extension of the marketing passport under the Alternative Investment Fund Managers Directive to 12 non-EEA countries, including the United States. This Alert considers the opportunities available to managers under the marketing passport, and the implications of obtaining it.

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