SEC Expands Focus on ESG-Related Products
By EsqSocial Corporation 09/06/21
On April 9, 2021, the SEC’s Division of Examinations (f.k.a. OCIE) (the “Division”) released a risk alert (the “Alert”) highlighting observations from exams of registered investment advisers (“RIAs”), registered investment companies, and private funds recommending or offering environmental, social, and governance (“ESG”) -related investment products and services. The Alert, which was closely followed by a public statement regarding the Alert from SEC Commissioner Hester Peirce (the “Peirce...
By: Kilpatrick Townsend & Stockton LLP