Asset Management Takeaways From SEC Risk Alert On ESG

Law360 (April 19, 2021, 5:05 PM EDT) -- Investors are increasingly requesting ESG-focused financial products and services, and investment advisers and fund sponsors are delivering.

Not surprisingly, this has prompted the U.S. Securities and Exchange Commission and its staff to direct resources toward ensuring that firms holding themselves out as being ESG investors continue to comply with the requirements of applicable securities laws.

This article reviews certain of the most recent guidance and statements from the SEC and its staff related to environmental, social and governance, or ESG, investing.[1]

On April 9, the SEC's Division of Examinations published a risk alert[2] summarizing its observations from recent examinations of investment...

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