ESG Compliance Solutions

The uniqueness of your firm means that a tailored approach is needed to ensure that you can meet the requirements of regulators and the expectations of investors. Our ESG advisory offering is designed to provide managers with the tools they need to pre-empt ESG expectations and stay on top of the regulatory and legislative landscape.

Each client is assigned a dedicated ESG expert who will create a bespoke roadmap on how to integrate ESG into your business.

Our ESG Compliance Solutions

SFDR Conversion Toolkit – using our 5 step process

• Step 1 – Holding a workshop with the investment and compliance teams to ensure a detailed understanding as to how ESG factors are integrated and how sustainability risks are considered within the investment process.
• Step 2 – Establishing a robust framework, policies and procedures commensurate with the size and complexity of the firm.
• Step 3 – Review and guidance on pre-contractual disclosures.
• Step 4 – Review and guidance of website disclosures.
• Step 5 – Holding a knowledge sharing session with the investor relations team to help prevent against any allegations of greenwashing.

SFDR Health check

Bronze Package

• Review of marketing materials and disclosures.
• Review of investment practices, investment memos and investment decisions to determine whether these appropriately address and document the considerations of ESG factors/sustainability risks.
• Review of ESG policies (inclusive of remuneration policy).

Silver Package

• Review of marketing materials and disclosures.
• Review of investment practices, investment memos and investment decisions to determine whether these appropriately address and document the considerations of ESG factors/sustainability risks.
• Assist with the updating of ESG policies and procedures (inclusive of remuneration policy).
• Advise on best practices to enhance the integration of ESG within the firm’s governance and the investment cycle.
• Assistance with compilation/review of Annex IV/V.

Gold Package

• Review of marketing materials and disclosures.
• Review of investment practices, investment memos and investment decisions to determine whether these appropriately address and document the consideration of ESG factors/sustainability risks.
• Assist with the updating of ESG policies and procedures (inclusive of remuneration policy).
• Advise on best practices to enhance the integration of ESG within the firm and the investment cycle.
• Assistance with compilation/review of Annex IV and V.
• Provide an report that the product is SFDR compliant, which with consent and the signing of a hold harmless letter can be provided to investors upon request.

Independent SFDR Compliance/Alignment Report

Provide an independent report that the product is SFDR compliant (or for non EU products “aligned”), which with consent and the signing of a hold harmless letter can be provided to investors upon request.

ESG DDQ preparedness

• Perform Mock ESG DD to identify any gaps and advise on pragmatic steps to breach these.
• Assist in responding to investor ESG DDQ’s.

Bespoke ESG services

• Drafting an ESG policy at the advisor level.
• Drafting value statements.
• Drafting policies at the product level.
• Establishing ESG governance and monitoring frameworks.

If you would like to find out more about how Waystone can help you with our ESG solutions, please reach out to your usual Waystone representative or contact us below.