Search Results | Showing 11 - 20 of 41 results for "Division of Enforcement" |
| | | ... material to investors, investment advisers must ensure that their actions conform to their words," said SEC division of enforcement deputy director Sanjay Wadhwa, who is head of the SEC's Climate and ESG Task Force. "Here, DWS advertised that ESG was ... |
| | | | ... because you'd prefer different ones: the consequences for the investing public are far too great," SEC Division of Enforcement director Gurbir S. Grewal said. "As alleged in our complaint, Coinbase was fully aware of the applicability of the federal ... |
| | | | ... them and put their customers and investors at risk - all in an effort to maximise their own profits," SEC Division of Enforcement director Gurbir S. Grewal said. The SEC alleges that, while Zhao and Binance publicly claimed that US customers were restricted ... |
| | | | ... claims, and then used that fake information to induce JPMC to enter into a $175 million transaction," SEC Division of Enforcement director Gurbir S. Grewal said. "Even non-public, early-stage companies must be truthful in their representations, and when ... |
| | | | ... All of which "are invested solely to support the Church's mission", the church said. The SEC's division of enforcement director Gurbir S. Grewal commented: "We allege that the LDS Church's investment manager, with the Church's knowledge ... |
| | | | ... are increasingly branding and marketing their funds and strategies as 'ESG,'" deputy director of the SEC Division of Enforcement and head of the Climate and ESG Task Force Sanjay Wadhwa said. "When they do, they must establish reasonable policies and ... |
| | | | ... products and strategies have a clear understanding of the risks those products present," chief of the Division of Enforcement's Complex Financial Instruments Unit, Osman Nawaz said. "As fiduciaries, advisers also must make suitable recommendations to ... |
| | | | ... the funds had undergone an ESG quality review, which wasn't the case. Deputy director of the SEC's Division of Enforcement and head of its limate and ESG Task Force, Sanjay Wadhwa explained the findings. "Registered investment advisers and funds ... |
| | | | ... "Investors are entitled to an accurate picture of a company's material operating results," SEC director of the division of enforcement Stephanie Avakian said. "GE's repeated disclosure failures across multiple businesses materially misled investors about ... |
| | | | ... billion. The CFTC estimates BitMEX earned fees of over US$1 billion since it began operating. The CFTC's division of enforcement director James McDonald said: "Effective anti-money laundering procedures are among the fundamental requirements of intermediaries ... |
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