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In Private Equity Law Review, Jason Brown and Nicole Horowitz Discuss Deficiencies Targeted in SEC Examinations of Advisers’ ESG Related Policies

Practices: ESG, CSR and Business and Human Rights, Asset Management ESG, Asset Management

Environmental, social and governance (ESG) issues are a top priority for the SEC based on its recent guidance and exam activity. A fund doesn’t even need to be an “impact” or “green” fund to receive scrutiny and any fund that makes ESG representations will receive attention. As a result, all advisers should evaluate whether they are making any statements about ESG and, if they are, how those disclosures align with their actual practices.

In a Private Equity Law Review article, asset management partner Jason Brown and associate Nicole Horowitz consider recent SEC guidance and examination efforts as to disclosures; investment activities and documentation; and policies and procedures to provide advisers with guidance on how to prepare for ESG requests that they may receive on SEC examinations.

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