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Invesco pays $17.5m to settle SEC’s greenwashing probe
The SEC accused the asset manager of being misleading in its statements and marketing regarding “ESG-integrated” assets.
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Firm cited for Marketing Rule violations after using athlete endorsements
Investment adviser failed to mention endorsements from high-profile sports stars were paid for.
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SEC’s Marketing Rule sweep hits nine IA firms with $1.2m in fines
The sweep sent a warning to IA firms about the importance of accuracy in advertising industry awards and touting conflict free advice.
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SEC issues risk alert on Marketing Rule compliance
The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.
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SEC charges five investment advisers in Marketing Rule enforcement sweep
The SEC charged five RIAs for Marketing Rule violations, pointing to misleading and improper hypothetical advertising in particular.
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SEC sweep: Nine firms charged with Marketing Rule violations
The SEC said the charged firms advertised hypothetical performance to mass audiences on their websites without having the required policies and procedures.
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SEC charges firm for paying ‘finfluencers’ and violating former Cash Solicitation Rule
In its second Marketing Rule enforcement announced this week. SEC charges firm for paying ‘finfluencers’ without proper disclosure in place.
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Fintech IA is charged in first violation of SEC’s amended marketing rule
The SEC announced charges against the NY-based fintech investment adviser for using hypothetical performance metrics in advertisements that were misleading, plus misleading disclosures.