Category: Investment Company Act

Enforcement News: Investment Advisor Settles “Greenwashing” Charges Concerning The percentage of Assets Under Management that Integrated ESG factors in Investment Decisions

Nov 11 2024

By: Jeffrey M. Haber On November 8, 2024, the Securities and Exchange Commission (“SEC” or “Commission”) announced (here) that it settled charges against Invesco Advisers, Inc., which operates Invesco mutual …

Jun 3 2022

By: Jeffrey M. Haber Variable annuities are complex securities pursuant to which customers, typically seniors and vulnerable adults, enter into long-term contracts with an issuing company, such as a life …

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Category: Investment Company Act

Enforcement News: Investment Advisor Settles “Greenwashing” Charges Concerning The percentage of Assets Under Management that Integrated ESG factors in Investment Decisions

Enforcement News: SEC Settles Charges Against Minneapolis Broker-Dealer for Improper Switching or Replacing of Variable Annuities