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Greenwashing Crackdowns Should Spur ESG Funds Review: Q&A

June 7, 2022 by Eugene Grygo

Greenwashing Crackdowns Should Spur ESG Funds Review: Q&A

(For financial services firms, the term “greenwashing” refers to misleading marketing about investments based upon Environmental, Social and Governance (ESG) and sustainability concerns. The practice has been getting a lot of attention recently as major media have reported upon a raid by German authorities of Deutsche Bank’s DWS offices in an effort to gather evidence… Read More >>

Filed Under: ESG, Diversity, Securities Operations, Automation, Buy-Side, Data Management, General Ops, Performance Measurement, Derivatives Operations, FinTech Ops, Back-Office, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Governance, KYC, Operational Risk, Regulatory Reporting, Social Media, Industry News, General Interest, Opinion, Q&As, Human Interest Tagged With: environmental, environmental, social and governance (ESG), ESG Reporting, ESG Data, ESG Compliance, ESG metrics, automation, back office, compliance, Buy-side, wall street, Securities Operations

BNY Mellon Unit & SEC Resolve ESG Omissions Case

May 27, 2022 by Eugene Grygo

BNY Mellon Unit & SEC Resolve ESG Omissions Case

BNY Mellon Investment Adviser (BNYMIA) is paying a $1.5 million penalty to the SEC to settle charges that it made “misstatements and omissions” about the mutual fund reviews that were intended to verify whether environmental, social, and governance (ESG) concerns were considered when investment decisions were made. As the SEC explains in its order, its… Read More >>

Filed Under: Diversity, Digital Transformation, ESG, Securities Operations, General Ops, Back-Office, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Governance, KYC, Regulatory Reporting, Industry News Tagged With: environmental, environmental, social and governance (ESG), ESG Reporting, ESG Data, ESG Compliance, Dreyfus, SEC, BNY Mellon, regulatory reporting

ESG Boosts Client Engagement via Social Media: Q&A

May 26, 2022 by Eugene Grygo

ESG Boosts Client Engagement via Social Media: Q&A

(A survey conducted by digital client engagement vendor Hearsay Systems, which focuses on financial services markets, has revealed that “principles-based messaging” is achieving the highest engagement rates for financial services firms, particularly financial advisors and agents. Such messaging refers to Environmental, Social, and Governance (ESG) criteria, and efforts to involve more women and more diversity… Read More >>

Filed Under: Diversity, ESG, Digital Transformation, Securities Operations, Automation, General Ops, Derivatives Operations, FinTech Ops, Artificial Intelligence, Back-Office, Middle-Office, Risk Management, Standards, Regulation & Compliance, Governance, KYC, Operational Risk, Regulatory Reporting, Sanctions, Social Media, Industry News, General Interest, Opinion, Q&As, Human Interest Tagged With: environmental, environmental, social and governance (ESG), digital documentation, ESG Reporting, ESG Data, ESG Compliance, client engagement, automation, back office, compliance, social media compliance, client reporting, Hearsay, Securities Operations

Is ESG Blurring Too Many Lines?

April 27, 2022 by Eugene Grygo

Is ESG Blurring Too Many Lines?

ESG-based investing efforts and their related operational adjustments are getting real for many securities firms. And the ESG push is beginning to blur many lines that many never questioned before. For those who have not been following ESG too closely, the Investopedia website offers a succinct definition: “Environmental, social, and governance (ESG) criteria are a… Read More >>

Filed Under: Diversity, ESG, Securities Operations, Buy-Side, Corporate Actions, Data Management, Performance Measurement, Reconciliations, Settlement and T+2, Regulation, Back-Office, Standards, Regulation & Compliance, Governance, KYC, Operational Risk, Regulatory Reporting, Industry News, General Interest, Opinion, Minding the Gap, Blog Tagged With: environmental, environmental, social and governance (ESG), ESG Reporting, ESG Data, state pensions, back office, pension fund, wall street, Eugene Grygo, Minding the Gap, Securities Operations

E.U. Leads U.S. in ESG Regulatory Guidance: Report

February 24, 2022 by Louis Chunovic

E.U. Leads U.S. in ESG Regulatory Guidance: Report

A new report just might provide a reality check for the recent commentary about climate change, the financial services industry, and regulators in America and around the world. But there’s a catch. According to the report, the United States “has a number of significant financial regulators and a far more complex regulatory landscape than the… Read More >>

Filed Under: Diversity, Digital Transformation, ESG, Private Markets, Securities Operations, Data Management, General Ops, Derivatives Operations, FinTech Ops, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Governance, KYC, Operational Risk, Regulatory Reporting, Social Media, Industry News Tagged With: ESG, ESG Reporting, ESG Data, ESG Compliance, SEC, data management, compliance, regulatory reporting, operational risk

BNY Mellon Helps Gauge ESG Levels of Collateral

November 30, 2021 by Eugene Grygo

BNY Mellon Helps Gauge ESG Levels of Collateral

BNY Mellon clients can now apply environmental, social, and governance (ESG) concerns to their collateral management choices via a capability for rating the ESG levels of securities that was added to BNY Mellon’s ESG Data Analytics offerings. The new capability is based upon access to MSCI ESG Ratings, according to BNY Mellon officials. The ESG… Read More >>

Filed Under: Diversity, Digital Transformation, ESG, Securities Operations, Automation, Buy-Side, Data Management, General Ops, Performance Measurement, Derivatives Operations, Regulation, FinTech Ops Tagged With: environmental, environmental, social and governance (ESG), ESG research and index, ESG Reporting, ESG Data, automation, back office, BNY Mellon, collateral management

Broadridge Dashboard Offers ESG Views of Companies: Q&A

November 23, 2021 by Eugene Grygo

Broadridge Dashboard Offers ESG Views of Companies: Q&A

(Post-trade systems, services, and software provider Broadridge Financial Solutions recently launched the Broadridge ESG Performance Dashboard, an effort that is intended to present investors and shareholders with a wide view of companies and their Environmental, Social and Governance (ESG) ratings, officials say. ESG criteria “are a set of standards for a company’s operations that socially… Read More >>

Filed Under: Diversity, ESG, Digital Transformation, Securities Operations, Automation, Buy-Side, Corporate Actions, Data Management, General Ops, Performance Measurement, Derivatives Operations, Regulation, FinTech Ops, Back-Office, Integration, Middle-Office, Risk Management, Standards, Governance, KYC, Operational Risk, Sanctions, Social Media, Industry News, Opinion, Q&As Tagged With: environmental, environmental, social and governance (ESG), ESG Reporting, ESG Data, ESG Compliance, automation, middle office, back office, data management, Standards, governance, operational risk, Securities Operations

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