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

August 25, 2021

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.

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