ESG Investing

ESG Investing

ESG (Environmental, Social and Governance) products and financial services have become a popular word in the world of regulation. With the SEC’s Risk Alert on The Division of Examinations’ Review of ESG Investing and the most recent 2022 SEC Examination Priorities Report, understanding key compliance considerations to protect your Firm is vital. If your Firm provides these products and financial services, we have provided some key tips and compliance considerations. What is ESG Investing: ESG investing is a term that has many different meanings and may go by different names such as sustainable investing, socially responsible investing, and impact investing. Read more about ESG Investing[…]

Regulation S-P

Regulation S-P: Possible Compliance Weaknesses

SEC Risk Alerts are helpful tools that notify broker-dealers and investment advisors of trends identified during recent examinations. A Risk Alert released last year provides insight to assist Firms with staying in compliance, highlighting trends related to Regulation S-P.

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