Enhanced Disclosure of ESG Practices for Registered Investment Companies and Expansion of the Names Rule

Investor interest in ESG strategies has grown significantly in recent years, resulting in substantial growth in ESG-related funds and strategies. On May 25, 2022, the SEC proposed amendments to rules that would require additional disclosure for registered investment companies and investment advisers that consider ESG factors in their investment processes. Separately, the SEC also proposed amendments to enhance and modernize the Investment Company Act “Names Rule.”

In this webinar, Paul Miller, Alexandra Alberstadt and Lance King will review the SEC’s rule proposals and share their views on the potentially significant impacts on disclosures and compliance practices for registered investment companies. Panelists will focus on the potential effects of the proposals on ESG funds but will discuss the implications of the proposed changes to the Names Rule for non-ESG funds as well.


The opinions expressed are those of the author(s) and do not necessarily reflect the views of the firm or its clients, or any of its or their respective affiliates. This article is for general information purposes and is not intended to be and should not be taken as legal advice.