ESG Examinations in Full Swing, and Most Advisers are Candidates

Author

Crista DesRochers

Publish Date

Type

Compliance Alert

Topics

  • ESG
  • SEC
  • Compliance

In line with the U.S. Securities Exchange Commission's (SEC) 2021 Examination Priorities, which included a major focus on ESG, many investment advisers are starting to receive environmental, social and governance (ESG) examination notifications. These examinations have been targeted at both firms with ESG investing strategies as well as those without, signaling the agency’s interest in ESG integration across the board, reinforced under the new leadership of ESG-reporting proponent Chair Gary Gensler.

In our downloadable article, we explore: 

  • What this means for your firm – whether you have ESG investment strategies or not 

  • Private Funds Unit Examinations – how and why the SEC is casting a much wider net on ESG 

  • Why it’s key to get your ESG your program in order and consider how it is viewed from a compliance angle. 

  • What to expect from — and how to prepare for — your SEC examination 
     

Download Article 

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