FrontLine Compliance’s regulatory experts will provide a comprehensive review of your Environmental, Social, and Governance (ESG) practices. Our specialized review will be conducted by ESG compliance specialists, including former SEC examiners and CCOs, fluent in the relevant regulations, ESG compliance and industry best practices for ESG money managers.

Be Prepared Through Our Expert Services

FrontLine Compliance’s specialized ESG compliance audit for your firm will focus on:

  • ESG related disclosures for multiple parties, including regulators, shareholders and clients/investors
  • Firm trading and investment strategies as correlated with ESG guidelines
  • Client facing materials and reports (marketing, client reporting and newsletters)
  • Supervision and evaluation of ESG strategies
  • Review of ESG policies and procedures in relation to practice
  • Review portfolio construction and its compliance with ESG restrictions
  • GAP analysis of firm practices in relation to proposed regulations
  • Deliverables include a customized audit report of findings and recommendations for your senior management and/or Board of Directors

FrontLine Compliance’s findings and recommendations will be discussed with the firm throughout the process and at the conclusion of the review. Audit results will be utilized to strengthen ESG compliance overall and prepare your firm for any future SEC targeted exams of ESG focused firms.

Our Client Deliverables

Every client written deliverable produced by FrontLine Compliance is thoroughly reviewed for accuracy of findings and correct use of regulatory language. No deliverable is submitted until approved by FrontLine Compliance’s senior management and it has been discussed thoroughly with the firm.

Your Client Experience

With each of our services, experience the high-level satisfaction that our clients enjoy.

  • Frequent collaboration with our client CCOs through scheduled conference calls and video meetings
  • Ongoing access to our top executives with 24-hour response time for timely advising and Q&A
  • Roster of seasoned compliance experts comprised of former SEC regulators and CCOs, each with 15+ years’ experience

Here’s just some of what distinguishes us:

  • Unmatched track record of client SEC Exams resulting in no material findings
  • Versatile programs and projects with seamless adjustments to services
  • Cost efficiencies and significant reductions in legal expenses
  • Client renewal rate that exceeds 90 percent

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