This ESG Investing – SEC Exam Request List are examples of environmental, social and governance (“ESG”) related items from investment adviser examinations by the U.S. Securities and Exchange Commission (“SEC”) in 2023.

Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages). Available for a la carte purchase through our online store at

This ESG Investing – Client Consent of Adviser’s Use of ESG Objectives is a sample investment adviser form which is used to document a client’s written consent to an investment adviser’s use of ESG and other non-financial objectives when providing investment advice or recommendations or making discretionary investment decisions.

Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Can be purchased a la carte through our online store: https://www.ria-compliance-consultants.com/product/investment-adviser-client-consent-esg/

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