1e. ALL Lab – Compliance’s Role in ESG Investing and Corporate Engagement (SESSION IS FULL!)


As environmental, social, and corporate governance (ESG) investing is moving more into the spotlight, it is important for compliance professionals to ensure it incorporates a firm’s fiduciary duty to its clients. This session will include an interactive case study discussion on how best to implement and manage ESG investing and corporate engagement topics at your firm.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• ESG Investing – Ensuring your investment process is consistent with what is disclosed to your clients and the best way to test and review ESG portfolios.
• ESG Data Providers – Understanding the unique due diligence requirements for these vendors.
• Balancing different regulators views and their tolerances for ESG (EU, France, vs United States SEC and DOL)
• Corporate Engagement – Understanding who your firm is engaging and how to identify and mitigate the potential conflicts

Sponsored by:

Lab                        Program Level: Advanced Date: October 21, 2019 Time: 9:50 am - 11:05 am Chuck Daly Neshie Tiwari