2-Hour Program

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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.


Today, a major focus of asset managers is on environmental, social and governance (ESG) factors.  In response to investor and regulatory demands, ESG considerations and related-disclosures figure more prominently in investment strategies and investment vehicles. The European Union have developed stringent requirements applying to asset managers of EU funds, and the US regulators are poised to follow in kind.   In this program, we will discuss the issues faced by asset managers as they navigate the emerging framework. 

What You Will Learn:

  • What are an asset manager's disclosure obligations for its ESG-themed funds?
  • What considerations are in play with respect to an asset manager’s review of corporate issuer disclosures? 
  • What is the SEC exam staff focusing on with respect to its review of asset managers? 


Program Level:  Overview

Intended Audience: Attorneys, in-house counsel and compliance professionals, investment advisors, accountants; and those employed in supervisory positions throughout the asset and investment fund management industry, as well as those with an interest in ESG related matters and disclosure.

Prerequisites: An interest in asset management, fund management and ESG.

Advanced Preparation: None


Credit Details