SEC

Across the pond: SEC considering treating index providers as investment advisers

Regulation

Across the pond: SEC considering treating index providers as investment advisers

No longer 'data providers'

clock 17 June 2022 • 1 min read
SEC investigating Goldman Sachs AM over ESG claims - reports

Regulation

SEC investigating Goldman Sachs AM over ESG claims - reports

Regulator increasingly vigilant on topic

clock 13 June 2022 • 1 min read
SEC unveils new ESG fund disclosure and naming requirements

Investment

SEC unveils new ESG fund disclosure and naming requirements

Aims to prevent greenwashing

clock 26 May 2022 • 2 min read
SEC fines BNY Mellon Investment Adviser $1.5m for greenwashing

Investment

SEC fines BNY Mellon Investment Adviser $1.5m for greenwashing

ESG reviews not performed

clock 24 May 2022 • 1 min read
Allianz hit with $6bn fine over fund manager fraud

Investment

Allianz hit with $6bn fine over fund manager fraud

Misled investors on risky investments

clock 23 May 2022 • 1 min read
FCA seeks services of third-party crypto analyst

Regulation

FCA seeks services of third-party crypto analyst

Tender offer worth £500,000

clock 24 November 2021 • 1 min read
The business case for diversity is clear - yet advisers are slow off the mark

Your Business

The business case for diversity is clear - yet advisers are slow off the mark

Diversity in advice sector 'poor'

clock 16 September 2021 • 6 min read
DWS rejects greenwashing allegations after SEC and BaFin launch probes

Investment

DWS rejects greenwashing allegations after SEC and BaFin launch probes

Former employee alleges malpractice

clock 27 August 2021 • 2 min read

Regulation

More 'skin in the game'? interactive investor calls for US-style fund disclosure rules

Overhaul of transparency guidance urged

clock 08 June 2021 • 3 min read

Multi-Asset

John Husselbee: Four core messages on passive investing

Nowhere to hide

clock 09 August 2019 • 4 min read