Buyer/Seller Beware: SEC Continues to Scrutinize Rule 10b5-1 Plans

Akin Gump

Companies that have, or whose insiders have, 10b5-1 plans should review those plans and confirm that they have been implemented and amended (or cancelled) in good faith.

Read the Article

New SEC ESG Disclosure Rules to Extend to Climate, Human Capital and More
Akin Gump

Per media reports of last week’s annual Conference on Financial Market Regulation, Securities and Exchange Commission (SEC) Chair Gary Gensler announced that the SEC will propose a rule requiring public companies to provide certain human capital disclosures, including workforce metrics relating to diversity, turnover rate and a breakdown of the number of full and part-time employees.

Read the Article

Recent SEC Risk Alert Puts ESG Investing at the Forefront
Akin Gump

A recent Risk Alert issued by the Securities and Exchange Commission’s Division of Examinations examined investment advisers, registered investment companies and private funds engaged in environmental, social, and governance (ESG) investing. As investor demand for ESG data grows, investment firms must integrate compliance personnel into their ESG practices and put their ESG disclosures into action.

Read the Article

Top 10 Topics in 2021: A Brave New World
Akin Gump

The world has changed a lot since our 2020 report. A global pandemic; an ongoing reckoning on race, inequality and social justice; a climate crisis; an economic shock; and increased political polarization have created challenging dynamics for companies and boards globally. The role of the board in managing risk and charting the course ahead is more critical today than ever before. This report delves into these wide-ranging and interlocking issues and offers insight on how directors and management must proactively embrace their stewardship roles in this brave new world.

Read the Report