11b. ALL – Compliance’s Role in ESG Investing and Corporate Engagement

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 a discussion on how best to implement and manage ESG investing and corporate engagement topics at your firm.

Learning Objectives:

  • Ensure your investment philosophy and process (i.e., methodology, screens, thematic approach, and due diligence) are consistent with what is disclosed to your clients
  • Understand unique due diligence requirements for ESG Data Providers and in reviewing ESG investments and underlying public and private managers
  • Review corporate engagement best practices including conflicts of interest reviews
  • Discuss ESG performance reporting and how to measure impact


Sponsored by:

                       Program Level: Date: October 21, 2020 Time: 2:00 pm - 3:15 pm Kate Ahern Sara Crovitz John Streur

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(860) 672-0843 info@nscp.org