What is the role of governance and compliance in ESG investing?

Beth Haddock and Carol Sirou
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Beth Haddock: Managing Partner, Warburton Advisers, USA
Carol Sirou: CEO and Founder, Safineia Advisors, USA

Journal of Financial Compliance, 2021, vol. 5, issue 2, 115-122

Abstract: This paper is written by two former Chief Compliance Officers who currently serve as trustees on boards of directors. The paper will cover two topics: In Section 1: The enhanced role compliance can play to support the company in its ESG processes through a risk-based compliance programme specifically designed to address ESG developments; and in Section 2: The role of compliance in supporting board oversight of ESG and compliance officers’ own contribution to ESG stakeholder management.

Keywords: ESG; stakeholder management; board oversight; sustainability; SEC risk alert (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2021
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jfc000:y:2021:v:5:i:2:p:115-122

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