3-Hour Program

See Credit Details Below


Stay Ever Current: Subscribe today to https://bdia.pli.edu/  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
After completing this program, participants will be able to:

  • Understand an asset manager's disclosure obligations for its ESG-themed funds.
  • Identify the considerations asset managers should focus on in designing an ESG program.
  • Make sense of the SEC’s, EU’s and DOL’s focus with respect to asset managers and the regulatory interplay among them. 

Program Level: Overview 

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

Advanced Preparation: None

Credit Details