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ESG Compliance Considerations for Investment Advisers and Private Funds/Equity

May 18, 2021
2:15 PM - 3:15 PM EDT
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Course Description:

Environmental, social and corporate governance (ESG) investing is attracting attention from investors and regulators alike. Investment advisers that employ ESG strategies or products must be able to identify the legal, regulatory, and compliance considerations inherent in this investment strategy. This session will address fiduciary duties, ESG data and third party ESG vendors, advertising, and a new DOL rule for ESG investments that may, or may not, survive review by the Biden administration.

Learning Objectives

After attending this session, you should be able to:

  • Explore the concerns that regulators have with ESG investing and related investment approaches
  • Identify your compliance obligations when using an ESG strategy or product
  • Develop policies and procedures to address applicable rules and incorporate best practices

This virtual course is being taught as part of the Spring 2021 Virtual Compliance Conference. To learn more, visit our main conference webpage.

Mark D. Perlow
Partner, Dechert LLP, Financial Services and Investment Management


Mark D. Perlow represents mutual funds, hedge fund managers, fund independent directors, investment advisers, and broker-dealers on a broad range of regulatory and transactional matters.

Having served as senior counsel in both the SEC’s Office of the General Counsel and the Division of Enforcement, Mr. Perlow has considerable experience with SEC rule-making, submissions, enforcement, examinations and compliance activity.

Mr. Perlow has been recognized as a leading lawyer for registered funds by Chambers USA. For the last several years, he has also been recognized by The Legal 500 (US) in the areas of mutual/registered funds and alternative/hedge funds, and he is listed in The Best Lawyers in America for mutual funds law. He is a frequent author and speaker on securities law and investment management topics. Currently, he is an adjunct lecturer at the University of California, Berkeley Law School.

Prior to joining Dechert, he served as a partner in the San Francisco office of another international law firm.


Carmine Angone
ConsultantNRS


Carmine is based in our New York City office. Carmine works closely with Chief Compliance Officers and their outside counsel to assess a firm’s regulatory obligations, conflicts of interest and regulatory enterprise risk. He also assists in the development, implementation and testing of a comprehensive compliance program tailored to the firm’s business practices.

Carmine has been working in the compliance area for over 30 years. His regulatory compliance experience allows him to provide a broad range of services, including SEC mock examinations, annual compliance program reviews, under Rules 206(4)-7 and 38a-1, risk assessment and mitigation, vendor management, and design of controls to demonstrate adequacy, accuracy and effectiveness of policies and procedures implementation. These services are rendered in accordance with SEC recognized best practices as well as new and emerging regulatory initiatives, rules and regulations.

During his compliance career, Carmine has provided compliance services to state and federally registered investment advisory firms of varying size, product mix and complexities He was formerly employed at large investment advisers with a client base consisting of hedge funds, private capital funds (equity & fixed income), hedge fund of funds, venture capital funds, managed accounts, and mutual funds with underlying institutional and retail clients.

Carmine graduated from Queens College with a BA in Economics.


For Whom: Designed to increase the professional competence of Investment Advisers.

Suggested Skill Level: Intermediate

Maximum Recommended Credit Hours for this session will include CLE, CFP, IACCP® and CPE.

CA MCLE = 60 minutes
CFP = TBD
IACCP® = 60 minutes
CPE = 60 minutes

For more information, check out the NRS Continuing Education Guide.