Certificate

ESG Investing for 401(k) Advisors

The ESG Investing for 401(k) Advisors (ESG(k)™) certificate - developed from some of the nation’s leading retirement education resources - equips retirement plan advisors with the essential knowledge to help clients manage ERISA fiduciary obligations while evaluating the prudence of ESG investments.

Use Enrollment Code

Course Overview

401(k) advisors may be obligated to help their participants understand the fundamentals of ESG investments.

NAPA’s ESG(k)™ Certificate Program consists of three modules plus an assessment to expand a 401(k) advisor’s knowledge of ESG investing, which will allow them to understand how to incorporate ESG investing into their practice. The program will prepare advisors to:

- Speak to clients and prospects related to ESG investments.
- Recognize how fiduciary obligations apply to the analysis of ESG investments.
- Distinguish the principal strategies for incorporating ESG into the investment process.
- Demonstrate how investment strategies align with fiduciary duties under ERISA.
- Demonstrate a prudent process in the evaluation of ESG investments.
- Assess material ESG factors in reviewing plan investments.
- Document use of ESG factors in selection of investments.
- Integrate ESG investments into marketing materials.
- Conduct participant and plan-sponsor education for ESG investing.
- Answer participant and plan-sponsor questions about ESG investments, and much more.

The NAPA ESG(k)™ Certificate Program is available exclusively to NAPA members, NAPA Firm Partners, and advisors with a NAPA ESG(k)™ Sponsor Access Code. There are no costs or fees for the certificate program.

Get Started

2 - 3

Hours Estimated

Prerequisites

CE Credits

Module 1: The Fundamentals of ESG Investing

This module will help you broaden your knowledge and understanding of ESG factors and learn how to incorporate ESG investing principles into your practice as an effective business building opportunity.

By the end of this module, you will be able to…

Describe ESG factors and identify material ESG factors.
Identify the principal strategies for incorporating ESG factors into the investment process.
Discuss opportunities to grow your 401(k) practice with ESG investing.

Module 2: ESG Investing: The Advisor’s Process

This module will show you how to apply what you have learned to evaluate ESG investments for inclusion in a 401(k) plan.

By the end of this module, you will be able to…

Recognize how an advisor’s fiduciary obligations apply to the analysis of ESG investments.
Distinguish the principal strategies for incorporating ESG factors into the investment process and demonstrate how those strategies align with fiduciary duties under ERISA.
Demonstrate a prudent process in the evaluation of ESG investments.

Module 3: Putting ESG into Practice with Clients and Prospects

Now that you learned the language of ESG investing and how to comply with ERISA, this module is going to assist you with putting everything into practice for three audiences:

Plan sponsor clients
Prospective clients
Participants

There will be practical examples for each type of audience, and helpful hints to ensure you are prepared for these ESG investment conversations.

Assessment

Course Pricing

Price Per User: $435

* For group pricing, please contact our Sales Team.

Who should take the NAPA ESG(k) Certificate Program?

How is the NAPA ESG(k) Certificate Program different from other ESG investing education programs?

Developed by the National Association of Plan Advisors (“NAPA”) NAPA ESG(k) is unbiased ESG education specifically designed for 401(k) plan advisors who must navigate ERISA fiduciary duties when recommending ESG investments to retirement plan sponsors and participants. The third module of the NAPA ESG(k) Certificate Program is scenario-based education modeling real-world application of ESG investing for advisors, including, presenting ESG investments to retirement plan investment committees and plan participants.

How much does the NAPA ESG(k) Certificate Program cost?

The NAPA ESG(k) Certificate Program is available at no cost to NAPA Members, NAPA Firm Partners, or advisors with a NAPA ESG(k) sponsor enrollment code.

If you aren’t affiliated with a NAPA Firm Partner, aren’t a NAPA Member or you don’t have a relationship with one of our ESG(k) sponsors you can purchase the course from the NAPA Marketplace.

Modules: $435

Will I earn continuing education (CE) credit for completing the course?