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ESG - Overview of Issues for Financial Regulators


Speaker(s): Alex Martin, Barbara Roper, Corey Klemmer, Tyler Gellasch
Recorded on: Feb. 25, 2021
PLI Program #: 322589

Alex Martin is a Sr. Policy Analyst for Climate and Finance at Americans for Financial Reform (AFR), where he manages the group’s policy work at the intersection of financial regulation, climate change mitigation and resilience, sustainable investing, and climate financial risk. Before joining AFR, Alex served as a legislative fellow on the climate team for Senator Schatz (D-HI) and as informal committee staff for the Senate Democrats’ Special Committee on the Climate Crisis, focusing on carbon storage tax incentives, climate-related systemic financial risk, economy-wide decarbonization, and environmental justice.

Prior to that, Alex served as a policy fellow and consultant at the National Academies of Sciences, Engineering, and Medicine on projects related to clean energy, low-carbon vehicles, and deep decarbonization pathways. In addition to clean energy technologies, his work explored potential policy drivers for decarbonization like carbon pricing, clean electricity standards, and innovative financing mechanisms for sustainable practices and products. Alex holds a BS from Boston College and a PhD from New York University, both in chemistry. His scientific research experience spans atmospheric chemistry, materials science, and optics.

 


Barbara Roper is director of investor protection for the Consumer Federation of America, where she has been employed since 1986. CFA is an alliance of approximately 300 pro-consumer organizations, which in turn represent more than 50 million individual consumers.

A leading consumer spokesperson on investor protection issues, Roper has conducted studies of abuses in the financial planning industry, state oversight of investment advisers, state and federal financial planning regulation, financial planning software, financial education needs of low income older persons, the need for audit reform in the wake of the Enron scandal, the need for mutual fund reform in the wake of trading and sales abuse scandals, the information preferences of mutual fund shareholders, systemic risk regulation, and securities law weaknesses as a cause of the financial crisis. She has testified frequently before Congress and has supported federal and state legislative and regulatory initiatives on a broad range of investor protection issues.

Roper is a member of the SEC’s Investor Advisory Committee, FINRA’s Investor Issues Group, and the CFP Board’s Public Policy Council and Standards Commission.  She has previously served on FINRA’s dispute resolution task force, the Public Company Accounting Oversight Board’s Standing Advisory Group as well as its Investor Advisory Group, the Investors Working Group, the board of Fund Democracy, and the national advisory board of AARP’s Money After Fifty program. She is the 1991 recipient of the National Association of Personal Financial Advisors’ Distinguished Service Award, the 1992 recipient of a Distinguished Service Award from the North American Securities Administrators Association, and a 2004 recipient of Consumer Action’s Consumer Excellence Award. She graduated in 1977 from Princeton University with a degree in art history.


Corey Klemmer joined Domini in 2018 as the Director of Engagement. Ms. Klemmer’s diverse experience with law, financial analysis, corporate engagements and issue-based organizing enables her to lead Domini’s efforts as a voice for change. Ms. Klemmer is responsible for leading Domini’s engagement efforts with portfolio companies and broader stakeholder groups, as well as developing initiatives and campaigns.

Prior to joining Domini Ms. Klemmer served as an analyst at the AFL-CIO Offi­ce of Investment where she worked with pension funds, policy makers and other stakeholders to advocate for forward-thinking investor perspectives on many issues including systemic risk, human capital management, student debt, criminal justice reform, and corporate disclosure reform. Her legal background includes work with the Strategic Counsel for Corporate Sustainability, The Initiative for Responsible Investment and her work as an attorney at The Lambert Firm prior to joining AFL-CIO.

Ms. Klemmer graduated cum laude from Amherst College with a B.A. in Law, Jurisprudence and Social Thought and earned her J.D. from Tulane University Law School.


Tyler Gellasch is the Executive Director of the Healthy Markets Association, where he oversees all aspects of the organization. Healthy Markets is an investor-oriented trade group focused on ensuring investors have the information and rights they need to promote healthy capital markets. Prior to launching Healthy Markets in 2015, Gellasch worked in public service as Counsel in the US Senate, as well as Counsel to then-new SEC Commissioner Kara M. Stein. Prior to that, Gellasch began his career as an associate at Mayer Brown LLP and Morgan, Lewis & Bockius, LLP. Gellasch is also a Founder of Myrtle Makena, LLC, a capital markets and economic policy consulting firm. Gellasch received his undergraduate degree from Case Western Reserve University. Both his juris doctor and master's degree in economics were awarded by Duke University.