ESG Investment Funds Get SEC Scrutiny

Thoughtware Alert Published: Apr 21, 2021
Financial Services

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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