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ESG Compliance Considerations for Investment Advisers

October 27, 2020
1:15 PM - 2:15 PM CDT
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Course Description:

Environmental, social and corporate governance (ESG) investing is a growing form of investing. Investment advisers that employ ESG strategies or products will need to navigate the associated legal, regulatory, and compliance considerations. This session will address fiduciary duties, ESG data and third party ESG vendors, advertising, and a new proposal from the DOL to regulate fiduciary conduct when considering ESG investments.

Learning Objectives

After attending this session, attendees should be able to:

  • Analyze ESG investing and related investment approaches
  • Review compliance considerations when using an ESG strategy or product
  • Dissect the relevant investment adviser compliance concerns and how to effectively address them

This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.

Matthew Fitzgerald
Matthew J. Fitzgerald
Vice President, Chief Compliance OfficerPGIM Fixed Income

Matthew J. Fitzgerald serves as Chief Compliance Officer dedicated to PGIM Fixed Income, a registered investment adviser with over $920 billion in AUM. He leads a team of 35 professionals globally.

Before joining PGIM Fixed Income, Matthew was a Managing Director and senior compliance officer at BlackRock. During his eleven years at BlackRock, Matthew held legal and compliance roles supporting the firm’s portfolio management advisory group, private capital investment group, iShares, index and institutional businesses. He was Chief Compliance Officer of BlackRock Capital Investment Corporation. Prior to BlackRock, Matthew was a Managing Director and General Counsel for IRG Limited, a financial and investment adviser based in Hong Kong. Matthew also represented investment advisers, broker dealers and trust banks in legal practice with Brown and Wood LLP, and Kirkpatrick and Lockhart.

Matthew received a Bachelor of Arts Degree in Psychology from Yale University and obtained a JD from The Emory University School of Law. He is admitted to practice law in Pennsylvania and The District of Columbia.

Mark Perlow
Mark D. Perlow
Partner, Dechert LLP

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.

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 = 1 credit
IACCP® = 60 minutes
CPE = 60 minutes

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