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Guiding asset managers through SFDR implementation

28 Nov 2023

The client, their challenge

Our client is an alternative asset manager that specialises in infrastructure debt with a global outlook. The firm is a signatory of the UN’s Principles of Responsible Investment (PRI) and adheres to the UK-endorsed Task Force on Climate-related Financial Disclosures (TCFD) recommendations.

The firm has an ‘Article 8’ infrastructure fund, as defined by the EU’s Sustainable Finance Disclosure Regulation (SFDR), involving private debt investments and bonds focused on the technology, media and telecom (TMT) and energy sectors.

For this fund, the client wished to ensure their fund documentation and website accurately reflected their investment process and complied with ESG regulatory requirements. They were therefore looking for regulatory specialists who:

  • Understood the firm’s investment strategy
  • Had in-depth expertise in SFDR
  • Had experience developing ESG regulatory infrastructure for a wide variety of clients

Our solution

Meeting all of the above criteria, IQ-EQ implemented a comprehensive solution to meet the client’s needs. We:

  1. Reviewed existing fund documentation (e.g. offering memorandum, prospectus)
  2. Drafted policy statements in line with the fund’s ESG objectives
  3. Completed pre-contractual SFDR documentation
  4. Drafted suitable website disclosures
  5. Advised on the client’s ESG due diligence process
  6. Screened all relevant fund documentation for greenwashing risks

The results

As a result of our services, the client felt confident they were fully aligned with the relevant regulatory requirements, that potential greenwashing risks had been removed from their documentation, and that they were delivering on investor ESG expectations.

Discover how IQ-EQ could help you

Click here to find out more about IQ-EQ’s end-to-end ESG Services, including set-up, data strategy, data collection and reporting.

Our expert regulatory compliance team also specialises in:

  • ESG regulatory infrastructure development
  • EU SFDR/Taxonomy regulation
  • TCFD and the UK’s new Sustainability Disclosure Requirements (SDR)
  • Anti-greenwashing reviews
Working with IQ-EQ has been seamless – you and your team understand our business, advise us appropriately, and handle your side of our collective partnership so that we can focus on making good investment decisions. Evan Gibson SVP, Merchants Capital

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