Pete S. Michaels
Mintz
Articles
ESG Investing in Retirement Accounts: Down But Not Out
USA - November 30 2020 Proponents of environmental, social, and governance (“ESG”) investing may have good news on the horizonin particular, good news that could...
You Can’t Always Get What You Want: The End of ESG Investing in ERISA Accounts
USA - October 26 2020 The United States Department of Labor (“DOL”) is forging ahead with a controversial new proposed rule that would dramatically change the landscape of...
With ESG, Things Aren’t Always As Green As They Seem
USA - October 22 2020 Environmental, social, and governance (“ESG”) investing has captured the attention (and dollars) of more institutional investors each year and...
FinCen Issues Statement Regarding Publication of Suspicious Activity Reports (SARs)
USA - September 3 2020 On September 1, 2020, the Financial Crimes Network (“FinCEN”) issued a statement regarding various media outlets’ intent to publish Suspicious...
Massachusetts Securities Division Begins Enforcement Of New State Fiduciary Conduct Standard
USA - September 2 2020 On September 1, 2020, the Massachusetts Securities Division (“MSD”) began enforcing a new state regulation that holds all broker-dealers and their...
