Live Breaking News & Updates on Examinations Resulted In Examples Of Successful Firm

What You Need To Know:
The SEC recently examined investment advisers, registered investment companies, and private funds that offer ESG products and services.
SEC examinations resulted in finding inadequate and inconsistent firm ESG-related approaches, but also examples of successful firm approaches to ESG investing.
When implementing ESG-related investment practices, firms must be consistent, clear, and transparent regarding their ESG-related investment goals.
On April 9, 2021, the U.S. Securities and Exchange Commission (the SEC) released results from its recent examinations of particular investment advisers, registered investment companies, and private funds (the firms) that purport to offer environmental, social, and governance (ESG) products and services. The SEC observed a large discrepancy between the ESG-related disclosures of these firms and their adopted and implemented ESG practices. The SEC examinations found that firms undertake ESG practices for a var ....

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