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What is the role of governance and compliance in ESG investing?
Journal of Financial Compliance,
5
(2),
115-122
(2021)
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
The full article is available to subscribers to the journal.
Author's Biography
Beth Haddock is Managing Partner at Warburton Advisers a compliance consultancy helping firms deliver an ROI on their blockchain, FinTech and financial services compliance programmes. Ms Haddock also serves as an independent director to GMO-Z.com Trust Company, dedicated to the launch of a digital asset backed by Japanese yen. Ms Haddock currently serves as the Chair of the National Society of Compliance Professional’s Blockchain and Fintech Round Table and she is the author of Triple Bottom-line Compliance: How to Deliver Protection, Productivity and Impact and host of the podcast ‘What’s Ethical’.
Carol Sirou is the CEO and Founder at Safineia Advisors LLC, a Risk Management and ESG consulting firm. Ms Sirou also serves as an independent director to several private and listed companies in various industries. Ms Sirou serves on the boards of Europcar Mobility Group a global rental and mobility group, Agence France Locale, a specialized bank, and Qivalio, a credit rating and sustainable agency. As audit committee chair as well as member of the governance and compensation committees, she brings deep knowledge of capital markets, rating agencies as well as first-hand experience of crisis management and compliance issues.
