Amy Lynch comments on SEC exam priorities, expects reviews of ESG strategies (FundFire – Subscription Req’d)

Amy Lynch, Founder and President - FrontLine Compliance
Amy Lynch, Founder and President – FrontLine Compliance

The recent release of the SEC’s 2020 exam priorities has put firms with ESG investment strategies on notice. This next year, as one of its exam priorities, OCIE plans to focus on the disclosures provided by these firms to their clients. Amy Lynch, Founder and President, comments that the SEC is taking note of the proliferation of firms and products adopting ESG investing. Ms. Lynch further states that the regulator is interested in knowing how firms are conducting due diligence on the companies and asset managers that operate in the ESG space. See FundFire (subscription required), “SEC Examiners to Target Recent Rulemaking, ESG, Alt Data in 2020 Also, for a summary of the SEC’s new Examination Priorities Report, see our ComplianceAlert, “New Rules Drive SEC Focus in 2020”