US developments in ESG regulation: Impacts for firms

Recent regulatory action and fines against a top investment firm highlight the Securities and Exchange Commission (“SEC”) focus on ESG when marketing products as an ESG investment.   Firms that fail to ensure proper selection and monitoring of their ESG investments may face regulatory action under the Advisers Act of 1940.

We are well placed to assist firms in this area and have been providing guidance to our clients in areas such as reviewing policies and procedures. Please click here to find out how we can help your firm in this area.

 

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