Session 2: Developing and Implementing an ESG Compliance Program

Environmental, Social, and Governance (“ESG”) issues have become part of the corporate lexicon, perhaps now more than ever before.  As ESG investing is moving to the forefront for both regulators and investors, the role compliance professionals play is critical with increasing risks associated with disclosures and reporting requirements. This session will examine the impact of ESG investing on the compliance department, and best practices for managing this burgeoning area.

Learning Objectives:

• Determine the factors impacting the Environmental, Social and Governance investment decisions and the implications for compliance oversight

• Explore the different ESG NGOs (non-governmental organizations) and their reporting/disclosure frameworks (PRI, CFA Institute, TCFD, Net Zero, etc.)

• Examine the current and proposed regulatory landscape for ESG (e.g. SEC market task force, Risk Alert, greenwashing, new Marketing Rule)

• Discuss practical tips and best practices for the compliance oversight and governance framework of ESG investing