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Sullivan Lawyers Review Derivatives Proposal; Dechert Explores ESG Complexities

Lawyers from Sullivan recently published a detailed overview of the hefty proposing release of the SEC’s derivatives rule proposal. The article summarizes the current structure regulating the use of derivatives, the SEC’s rule proposal in 2015 and the major provisions of the 2019 re-proposal. The article offers an accessible overview of the proposal for directors who may not have time to read the SEC’s entire 459-page proposal. Similarly, Drinker Biddle in its client alert on the derivatives rule re-proposal offers some practical insights and asserts that advisers may need to hire additional staff with relevant experience to comply with the rule as proposed and the SEC may need to provide clearer guidance on the sales practices requirements. Meanwhile, Lawyers at Dechert in The Investment Lawyer wrote about the complexities of ESG investing. The article covers a lot of ground and includes topics such as: Fiduciary-Duty-Related Questions for Advisers Considering an ESG Investment Strategy; Considerations Related to ESG Data and the Use of Third-Party ESG Vendors; Designing and Implementing Relevant Compliance Policies and Procedures; and Investment Oversight and Governance Controls.

 
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