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SEC Guidance on ESG: The Impact on Your Compliance and Due Diligence Programs

Environmental, Social and Governance (ESG) investing is a hot topic in the industry right now. The SEC has been paying attention as well, forming a new Climate and ESG Task Force in the Division of Enforcement, with the goal of developing initiatives to proactively identify ESG-related misconduct, including material gaps or misstatements in disclosure of climate risks under existing rules, and analyzing disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies.

What does this mean for your Compliance Program? Join Hope L. Newsome, Esq., Managing Partner at Virtus LLP and Dana Pointer, Chief Compliance Officer at Preserver Partners for an overview of how ESG is impacting Compliance right now and how firms can better conduct third party due diligence to understand a company’s approach to ESG. We’ll be covering:

  • An overview of the core principles of ESG
  • Recent SEC guidance and Risk Alerts on ESG
  • Practical tips on conducting ESG Third Party Due Diligence

Register Now


Corporate and Financial Services Attorney by trade; Bridge-Builder between investors and the market by passion.

Practices & Capabilities 

  • 13 years serving as counsel and compliance officer for issuers and sponsors of private and public investment funds, broker-dealers and registered investment advisers.Experience in all manners of equity offerings. Served as chief compliance officer and secretary of two global energy investment companies registered under the Investment Company Act of 1940, as amended.Successfully led both new membership and continuing membership applications with FINRA and cycle and for- cause examinations with FINRA and the SEC.

  • Significant experience providing general corporate counsel to start-up, growth and renewal organizations including the execution of firm internal testing standards and processes.

Hope L. Newsome, Esq.
Managing Partner, Virtus LLP

Dana Pointer joined Preserver in February 2010 and serves as Chief Operating Officer and Chief Compliance Officer. Prior to joining the firm, she served as Vice President and Compliance Officer for FTN Financial Capital Markets from 1994-2010, a national broker-dealer.  She also served as Chief Compliance Officer for Channing Capital Management LLC, a private investment management firm in Chicago, IL from 2003-2005.  Dana earned a B.B.A. in Accounting from The University of Tennessee.

Dana oversees firm-wide management, compliance, strategic planning, investor relations, and the distribution of Preserver’s investment products.  In addition to her general management responsibilities, she also serves as the firm’s Controller overseeing financial management.

Dana currently serves as a Board member for the RISE Foundation of Memphis and Community Lift. She also serves on the Women’s Foundation of Greater Memphis Financial Review Board & Grants Committee, Benedict College’s Burroughs Business School Advisory Board, and Memphis CDC Capacity Fund Grants Review Committee. 

Dana Pointer
Chief Operating Officer and Chief Compliance Officer, Preserver Partners