On April 9, 2021, the SEC’s Division of Examinations issued a risk alert highlighting observations from recent exams of investment advisers, registered investment companies, and private funds offering ESG (environmental, social, and governance) product and services. The alert is intended to highlight risk areas and assist firms in developing and enhancing their compliance practices and provide transparency regarding the SEC’s examination focus.

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Visit our ESG webpage to learn how we can help your organization navigate ESG and develop an effective ESG program.