David Richards

David Richards

Kramer Levin Naftalis & Frankel LLP

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SEC Charges Investment Adviser for Failing to Adequately Disclose ESG Investment Policies and Procedures

On Nov. 22, 2022, the Securities and Exchange Commission (SEC) charged an investment adviser subsidiary of a major U.S. financial institution with violations of Section 206(4) of the Investment Advisers Act of 1940 (Advisers...more

12/8/2022  /  Cease and Desist , Enforcement Actions , Environmental Social & Governance (ESG) , False Statements , Greenwashing , Investment Adviser , Investment Advisers Act of 1940 , Investment Funds , Policies and Procedures , Securities and Exchange Commission (SEC)
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