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Author Archives: Ken Schwartz

SEC Division of Examinations Publishes ESG Investing Risk Alert

By Schwartz LLC |

The SEC’s Division of Examinations issued a Risk Alert on April 9, 2021 highlighting observations from its recent exams of investment advisers, registered investment companies, and private funds offering environmental, social, and governance (ESG) products and services. The risk alert is available at: esg-risk-alert.pdf (

Fund Disclosures Addressing COVID-19 Risks

By Schwartz LLC |

We have now been in the throes of the COVID-19 global pandemic for several months. On March 11, 2020, the World Health Organization officially declared a pandemic.[1] What was only months ago a distant (and possibly deliberately concealed) abstraction is now a semi-permanent and world-altering reality. Depending upon the target investors of a private… Read More »