Securities regulatory partner @BakerMckenzie (All views are my own.)
New York, NY
Joined August 2013
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Global asset managers will be interested in the attached alert from Caitlin McErlane and Kim Everitt about ESMA's focus on ESG compliance and greenwashing claims. lnkd.in/eMjufzeW
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The SEC posted a third Staff Bulletin on Standards of Conduct yesterday. The bulletin focuses on the duty of care when investment advisers and broker-dealers provide advice or make recommendations. The SEC staff makes clear that…lnkd.in/gs_h-YTP lnkd.in/gqfNwu9g
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Looking forward to speaking at this year's SIFMA conference along with @amyjgreer - and seeing clients and friends. #bakermckenzie #bakerfre #sifmacl lnkd.in/gckgKyQ9
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Sharing our views, along with my colleagues Gavin Meyers, Aiden O'Leary, and @amyjgreer, on the recent crypto staking enforcement case. #bakerfre, #bakermckenzie lnkd.in/ggZswbtn
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Looking forward to seeing everyone at the SIFMA C&L conference this year. There is no shortage of regulatory and enforcement developments to talk about . . . #SIFMACL #bakerfre lnkd.in/g4HnrtyU
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Please join us for a practical discussion about preparing for implementation of the new SFDR Level 2 rules. #bakerfre lnkd.in/gzWSx2yw
On the heels of COP27, please read our latest report on the race to net-zero - the current challenges and possible solutions to move forward. #bakermckenzie #bakerfre lnkd.in/g-tRcdD9
Looking forward to this upcoming discussion with the Director of the SEC's Division of Examinations. There is no shortage of topics to discuss! Thank you to Compliance Solutions Strategies (CSS) for including me in this Fireside Chat. lnkd.in/exEtUxpu
As if we weren't already under enough pressure to implement the Marketing Rule by the Nov. 4th compliance date, yesterday the Division of Examinations published a Risk Alert telling investment advisers to get ready for examinations…lnkd.in/eHvYs7fM lnkd.in/eDTQFXeF
The SEC will be considering proposed rules relating to ESG disclosures for investment advisers and investment companies and amendments to the Names Rule next week: lnkd.in/gwT2_Cut Stay tuned. #bakerfre #BakerESG lnkd.in/g3E6rPNJ
Last week the SEC published it climate disclosure rule proposal - which represents a significant step for ESG regulation in the United States. The proposed rules would require public companies to include climate-related impacts an…lnkd.in/eNQwH42V lnkd.in/eQDQhsSU
Fee calculations have only become more complex over the last several years as investment advisers increasing are rebating fees (like 12b-1 fees) and offering household discounts. But, that operational complexity also creates risk.…lnkd.in/dDUgPyK3 lnkd.in/d9ZJv275
It's still early days, but the SECs agenda for ESG is beginning to emerge. This week the Division of Examinations published its 2021 priorities, which highlights the focus on ESG disclosures, advertising claims, proxy voting, and business continuity plan…lnkd.in/d3jbP_m
The Marketing Rule was published in the Federal Register today. The effective date of the rule is May 4, 2021 with the compliance date 18 months later in November 2022. Now the real work begins . . . #financialinstitutions #bakermckenzie #bakerfre lnkd.in/dQDxgEd
Looking forward to "seeing" everyone this week at the #SIFMACL virtual forum. Don't forget to watch @amyjgreer as she moderates a live panel on the impact of COVID, remote supervision, return to work plans, and more. lnkd.in/dRPnGrj
As financial institutions move toward reopening there are a number of employment litigation risks that firms should consider. Please read our recent article with Susan Eandi, @PE1000, and @amyjgreer about how financial industry e…lnkd.in/dbNjBMx lnkd.in/dvQfuEn
There is a lot of discussion about the new DOL fiduciary proposal but, as my partner @valeriemirko and I discussed with InvestmentNews, we just don't think it is likely that the DOL will extend the thirty day comment period. #Bakerfre lnkd.in/dPBfHhm
US firms trading European equities or fixed income that settle through an EU Central Securities Depository will want to take a look at this briefing by my partner Caitlin McErlane about new rules effective February 2021 #bakerfre #bakermckenzie lnkd.in/dxnaimv
The SEC has released its 2020 Examination Priorities - continued focus on retail investors, implementation Regulation BI and the IA Standard of Conduct, financial conflicts of interest, digital investment advice, and much more. #b…lnkd.in/emWRTCP lnkd.in/eRWJT9D