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IAA 1940 Rule 206(4)-8
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SEC charges ESG RIA WisdomTree over inadvertent tobacco, fossil fuel investments
The charges arise from prospectuses stating that the company would exclude ESG-negative industries from its investments.
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Deutsche Bank unit to pay $25m to settle SEC AML and greenwashing charges
Enforcement actions addressed a failure to develop a mutual fund AML programme along with misstatements in its ESG investment process.
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SEC charges CEO and President of Synergy Settlement Services with fraudulent operation of special needs pooled trusts
Defendants allegedly used funds from deceased beneficiaries’ accounts on golf tournaments and beach parties.