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| | ... their participants, like the firms at issue here," the acting director of the SEC's Division of Enforcement Sanjay Wadhwa said. "In today's actions, while holding firms responsible for their recordkeeping failures, the Commission once more recognised ... |
| | | ... also announced charges against the former investment chief. Acting director of the SEC's division of enforcement Sanjay Wadhwa said Leech's allegedly fraudulent conduct was a "shocking betrayal" of his clients. "Investment advisers are at all times obliged ... |
| | | ... assets were ESG integrated. But saying it doesn't make it so," said SEC Division of Enforcement acting director Sanjay Wadhwa said. "Companies should be straightforward with their clients and investors rather than seeking to capitalise on investing trends ... |
| | | ... lines violated various laws designed to protect investors from the risks of self-dealing and conflicts of interest," Sanjay Wadhwa, acting director of the SEC's Division of Enforcement, said. "With today's settlements, which include multiple self-reports ... |
| | | ... 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 in its "DNA," but, as the SEC's order ... |
| | | ... reasonably supervise with a view to preventing and detecting those violations." SEC deputy director of enforcement Sanjay Wadhwa commented that recordkeeping failures such as these undermine the SEC's ability to exercise effective regulatory oversight ... |
| | | ... 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 procedures governing how the ESG factors will be evaluated ... |
| | | ... 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 are increasingly offering and evaluating investments ... |
| | | ... "As alleged, Hu's deception caused substantial losses to a retail mutual fund, and other funds IIG advised," Sanjay Wadhwa, senior associate director of the SEC's New York Regional Office said. "The SEC remains committed to holding accountable ... |
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