ESG Asset Managers and Investment Funds—Near Term SEC Enforcement Risk

ESG Asset Managers and Investment Funds—Near Term SEC Enforcement Risk

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A premier corporate governance and disclosure practice providing timely, tailored and practical advice to public company clients based on in-depth experience and insight.
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WilmerHale has played a leading role in shaping the rules that govern the financial services industry in the United States.
WilmerHale’s Investment Management Group provides sophisticated legal and regulatory advice to investment advisers, private fund sponsors, registered funds, and their independent trustees.
WilmerHale has a record of success at all stages of enforcement proceedings—from informal inquiries to litigation.
WilmerHale has defended clients in hundreds of class, derivative, shareholder and individual actions alleging securities fraud, breach of fiduciary duty and other corporate misconduct.

The SEC intends to bring enforcement actions under existing legal provisions against investment advisers and funds that do not adhere to stated environmental, social, and governance (ESG) criteria. Advisers and funds should ensure that they have policies and procedures in place to adhere to their stated ESG criteria.

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