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The SEC Staff Takes On ESG Investing | Morgan Lewis

To embed, copy and paste the code into your website or blog: In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. The Risk Alert[1] highlights certain deficiencies and internal control weaknesses observed by the staff, as well as observations regarding what the staff viewed as effective practices related to the management and oversight of ESG investing activities. The Risk Alert also summarizes certain ESG-related areas on which the Division of Examinations (Examinations) intends to continue to focus in its examinations of investment advisers and funds. In an April 12, 2021, statement, US Securities and Exchange Commission (SEC) Commissioner Hester M. Peirce offered her thoughts on th

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SEC Examiners Warn Advisors of ESG Missteps

“In response to investor demand, investment advisers and funds have expanded their various approaches to ESG investing and increased the number of product offerings across multiple asset classes,” the risk alert read. “This rapid growth in demand, increasing number of ESG products and services, and lack of standardized and precise ESG definitions present certain risks.” The risk alert said examiners of advisory fims would focus on all “policies, procedures and practices related to ESG and its use of ESG terminology,” as well as performance advertising and marketing and compliance programs. According to the alert, the DOE found some instances of “potentially misleading statements made by advisory firms. Monitoring ESG-related investing mandates and restrictions remained a problem for some firms, the commission said. In some instances, the DOE found advisors didn’t have controls in place to monitor clients’ negative screens, like prohibitions on particular ind

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Nasdaq Shuts Boardroom Doors on the Disabled

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Sacrement s clean tech industry raises almost $2 billion from investors - Silicon Valley Business Journal

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SEC To Review Climate-Related Disclosure: The Start Of Things To Come - Corporate/Commercial Law

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