Original, independent, thought leadership

SEC plans to finalize four sustainable investing and disclosure rules in 2023

The Bottom Line:  The SEC will finalize rules in 2023 covering corporate climate disclosures, executive compensation proxy voting, sustainable fund classifications and fund naming conventions. SEC sustainable investing and corporate disclosure rulemaking agenda for 2023 0:00 / 0:00 Listen to this article now Sources:  SEC; Sustainable Research and Analysis LLC. Observations:  On January 4, 2023, […]

Can the U.S. Antitrust Laws Stop ESG investing?

Opinion:  ESG is gaining traction as a political issue and in the process, arguments have surfaced that ESG initiatives may be subject to anti-competitive practices. The politicization of ESG investing is introducing additional business uncertainties and risks with financial consequences, including potential legal liabilities and reputational issues ESG investing is gaining traction as a political […]

The “GameStop Incident” and Why Sustainable Investment Funds May Be at Greater Risk

The Bottom Line:  A parallel exists between recent GameStop volatility, a stock’s vulnerability to social media actions and the potential exposure of sustainable investment funds. Introduction and Summary A convergence of factors recently empowered a group of retail traders to fuel stock market volatility and disrupt trading in some U.S. listed stocks.  Extraordinary price volatility […]

Confusion between Sustainable Investing and ESG integration Revisited

Recent article continues to sow and perpetuate confusion between varying strategies and approaches that make up the sustainable investing landscape An article in the Financial Times dated October 15, 2019 entitled “ESG Hardliners Blacklist $16 trillion U.S. Treasuries Market” by Alice Gledhill is the latest in a string of many that continues to sow and […]

Sustainable Investing Opinion Briefs: July 2019

Opinion Briefs Coverage Opinions cover the following topics in descending date order: Possible disruption of ETFs by ESG, hedge funds ESG survey, exploring the question of what ESG investing really means, a critique of socially responsible investing and a rebuke of same, investing in thematic water-related funds, the US House Financial Services Committee July 10 […]

Sustainable Investing Opinion Briefs: June 2019

Opinion Briefs Coverage:  Opinions cover topics ranging from hedge fund ESG practices, greenwashing, WSJ Future of Finance social investing apps, ESG sub-adviser due diligence, PE firms attracted to companies with poor ESG records and Carnival Corp. (CCL) poor governance and environmental conduct. June 18, 2019 – While alternative (“hedge”) funds continue to lag mutual funds […]

Research

Research and analysis to keep sustainable investors up to-date on a broad range of topics that include trends and developments in sustainable investing and sustainable finance, regulatory updates, performance results and considerations, investing through index funds and actively managed portfolios, asset allocation updates, expenses, ESG ratings and data, company and product news, green, social and sustainable bonds, green bond funds as well as reporting and disclosure practices, to name just a few.

A continuously updated Funds Directory is also available to investors.  This is intended to become a comprehensive listing of sustainable mutual funds, ETFs and other investment products along with a description of their sustainable investing approaches as set out in fund prospectuses and related regulatory filings.

Getting started

Many questions have surfaced in recent years regarding sustainable and ESG investing.  Here, investors and financial intermediaries will find materials that describe the various approaches to sustainable investing and their implementation.  While sustainable investing approaches vary and they have thus far defied universally accepted definitions, many practitioners agree that they fall into the following broad categories:  Values-based investing, investing via exclusions, impact investing, thematic investments and ESG integration.  In conjunction with each of these approaches, investors may also adopt various issuer engagement procedures and proxy voting practices.  That said, sustainable investing approaches will continue to evolve.

In addition to periodic updates regarding sustainable investing and how this form of investing is evolving, investors and financial intermediaries interested in implementing a sustainable investing approach will also find source materials that cover basic investing themes as well as asset allocation tactics.

Inesting ideas

Thoughts and ideas targeting sustainable investing strategies executed through various registered and non-registered sustainable investment funds and products such as mutual funds, Exchange Traded Funds (ETFs), Exchange Traded Notes (ETNs), closed-end funds, Real Estate Investment Trusts (REITs) and Unit Investment Trusts (UITs). Coverage extends to investment management firms as well as fund groups. 

Independent source for sustainable investment management company research, analysis, opinions and sustainable fund disclosure assessments