Compliance Issues Associated With Advisers’ Integration of ESG Criteria

Advisers face mounting pressure from investors to integrate environmental, social and governance (ESG) factors into the investment process. At the same time, the SEC is paying closer and closer attention to how advisers do that and how their practices gibe with their disclosures to investors. A recent Seward & Kissel program examined how advisers can begin to integrate ESG factors into the investment process and the associated compliance issues, including allocation of ESG-related expenses, use of third-party ESG scoring providers, ESG disclosures, side letters, commitments to ESG initiatives and ERISA concerns. The program featured Seward & Kissel partners Debra Franzese, Nicholas R. Miller, Patricia A. Poglinco and S. John Ryan. This article distills their insights. See “Taking a Measured and Forward-Looking Approach to ESG Compliance” (Mar. 3, 2022).

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