Ways CCOs Are Approaching ESG in Light of Growing SEC Scrutiny

Advisers are facing increasing SEC scrutiny over disclosures and practices around their use of environmental, social and governance (ESG) factors in the investment process. A recent ACA Group (ACA) program examined SEC initiatives, examination experiences and potential rulemaking pertaining to ESG investing and explored how advisers’ compliance teams are engaged in the firms’ ESG practices. ACA partner Crista DesRochers moderated the discussion, which featured Ranah Esmaili, partner at Sidley Austin and former SEC official; Wendy D. Fox, senior vice president and CCO at Ariel Investments; and Jennifer Lin, CCO of Fundamental Advisors LP. This article highlights the key points raised during the presentation. See “Notable Takeaways From the EY 2021 Global PE Survey” (Mar. 30, 2021); and “Significant PE Growth in 2019 and an Evolved 2020 Approach to ESG and Technology, Among Others” (Apr. 14, 2020).

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