Breaking Down the ESG Risk Alert & What to Expect from Enforcement (Ep. 5)

In this 31-minute ESG Spotlight discussion, Seward & Kissel attorneys and partners discuss the recent SEC ESG Risk Alert, SEC examination trends related to ESG, and practical advice for investment managers with respect to their ESG practices.

1. What is an SEC Risk Alert and what prompted the SEC to release an ESG risk alert? (1:00)
2. SEC Staff observations with regard to the ESG risk alert and key takeaways for investment managers (3:56)
3. What investment managers should expect in the examination context and typical ESG-related examination requests (10:35)
4. Key takeaways for managers regarding ESG policies, procedures and products (15:37)
5. SEC Enforcement Focus Areas related to ESG (23:57)

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.