Following the SEC’s 2021 Examination Priorities, ESG examinations are in full swing, and most advisers are candidates. In this compliance alert, we outline what the regulator expects and what your next steps should be - whether you have ESG strategies or not.
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: