In this 23-minute ESG Spotlight episode, Debra Franzese speaks with Kristina Wyatt, Deputy General Counsel and SVP of Global Regulatory Climate Disclosure at Persefoni, a SaaS Platform that enables companies and financial institutions to meet stakeholder and regulatory climate disclosure requirements and requests. Prior to joining Persefoni, Kristina served as Senior Counsel for Climate and ESG to the Director of the Division of Corporate Finance at the Securities Exchange Commission (SEC). During this episode, Debbie and Kristina discuss:

00:00 - 3:42: Kristina’s background and Persefoni

3:43 – 8:13: How third party providers and technology can assist investment managers in understanding their carbon footprint

8:14 – 14:55 : Investor and market demand for sustainability data reporting

14:56 – 20:28: The importance of sustainability data for investors, regulators and litigators

20:29 – 22:38: Predictions about the future of ESG

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.

In this 30-minute ESG Spotlight episode, Debra Franzese speaks with Gloria Nelund, Chairman and Chief Executive Officer of SEC registered investment advisor, TriLinc Global. TriLinc is an impact investing firm founded in 2008 with the mission to improve the world through private investments in developing countries. During this episode, Debbie and Gloria discuss:

• 00:00 – 8:19 Introduction to Gloria and the founding of TriLinc Global
• 8:20 - 14:47 Investor reactions to an ESG dedicated fund in 2008 and how TriLinc adapted
• 14:48 – 20:05 How TriLinc approaches ESG investing and Gloria’s advice to managers seeking to integrate ESG in their investment process
• 20:06 – 23:12 The difference between ESG investing in developing countries vs. developed countries
• 23:13 – 29:56: TriLinc’s LP communication with respect to ESG

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.

In this 24-minute ESG Spotlight episode, Debra Franzese speaks with Ted Horton, partner and co-head of Seward & Kissel’s Capital Markets Group. Debbie and Ted discuss the SEC’s newly proposed climate change disclosure regulations, including:

• 1:55 – 7:18: What is in the proposed regulation
• 7:19 – 10:50 What are the potential effects of the required disclosures
• 10:50 – 16:10 How these proposed disclosures may affect hedge fund and private equity fund managers and their portfolio companies
• 16:11 – 17:45 How the proposed changes may affect attestation/audit firms
• 17:46 – 18:30 How the proposals affect U.S. issuers vs. foreign issuers
• 18:31 - 23: 59 Next steps and final takeaways

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.

In this 28-minute ESG Spotlight episode, Debra Franzese speaks with John Ryan, ERISA partner at Seward & Kissel. Debbie and John discuss the recent DOL proposal regarding ESG and proxy voting, including:

• 2:38 - General framework governing ERISA fiduciary decision making and record keeping
• 4:58 - Comparison of the Trump and Biden administrations' approach to ESG for ERISA fiduciaries
• 10:20 - DOL's November proposed regulation
• 13:58 - What does the proposed regulation mean for managers that are seekign ERISA assets but looking to integrate ESG?
• 22:52 - Prior proposal and current proposal stance regarding proxy voting

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.

In this 34-minute ESG Spotlight episode, Debra Franzese has a conversation with Nidhi Chadda, Founder and CEO of Enzo Advisors, a sustainability consultancy firm providing cutting edge ESG solutions to corporate and institutional investors and investment managers.

In this episode, Debbie and Nidhi discuss:

• Enzo Advisors process & how they work with clients (00:10 – 07:16)
• Where to start with the ESG integration process across investment solutions (7:16 – 10:46)
• ESG frameworks and scoring systems (10:47 – 20:18)
• Private equity & value creation opportunities (20:19 – 24:03)
• Net zero (24:04 – 33:55)

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.

In this 31-minute ESG Spotlight discussion, Seward & Kissel attorneys and partners discuss the recent SEC ESG Risk Alert, SEC examination trends related to ESG, and practical advice for investment managers with respect to their ESG practices.

1. What is an SEC Risk Alert and what prompted the SEC to release an ESG risk alert? (1:00)
2. SEC Staff observations with regard to the ESG risk alert and key takeaways for investment managers (3:56)
3. What investment managers should expect in the examination context and typical ESG-related examination requests (10:35)
4. Key takeaways for managers regarding ESG policies, procedures and products (15:37)
5. SEC Enforcement Focus Areas related to ESG (23:57)

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.

In this 19-minute ESG Spotlight episode, Debra Franzese has a conversation with Emlyn Ade Palmer, Head of ESG Investing and Partner at investment consultant, Albourne. On the heels of the release of Albourne’s new ESG framework for Alternatives, Debra and Emlyn discuss:

• Albourne’s new ESG questionnaire (3:43)
• Becoming a PRI signatory & the use of ESG frameworks (7:35)
• What Albourne’s clients look for from investment managers (9:48)
• Albourne’s ESG scoring framework & key considerations for integrating ESG into the investment process (12:36)
• Investor reporting (14:57)

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.

In this 34-minute episode of Seward & Kissel’s ESG Spotlight Series, Partner Debra Franzese has a conversation with Jason Mitchell, Co-Head of Responsible Investment at Man Group and host of A Sustainable Future podcast. Debra and Jason discuss:

• How Man Group institutes ESG across the firm (1:39)
• How asset managers, both emerging and established, can integrate ESG at their firms (9:20)
• “Greenwashing” (13:15)
• SFDR and MiFID II (20:01)
• Shareholder proposals (21:23)
• Types of corporate engagement investment managers may utilize (26:15)
• Main risks for issuers and investment management firms (31:00)

*The discussion in this podcast is for informational purposes only and is not intended and should not be considered to be legal advice, and no attorney-client relationship is being created by this podcast. Attorney advertising.