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Asset Management › Misrepresentation

Kohn, Kohn & Colapinto LLP

SEC Issues Record Penalty for ESG Greenwashing Violations

Kohn, Kohn & Colapinto LLP on

In recent years, the U.S. Securities and Exchange Commission (SEC) has increasingly made Environmental, Social, and Governance (ESG) issues a central element of the agency’s enforcement priorities and on September 25, the...more

Dechert LLP

Investment Funds Update – Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on

FCA Opens Notification Window for Passported EU Firms and Funds under No-Deal Brexit Temporary Permissions Regime - The FCA has announced that the notification window for passported EU ex-UK firms and funds wishing to...more

Stinson - Corporate & Securities Law Blog

Don’t Lie About Assets Under Management

Stinson - Corporate & Securities Law Blog on

Umesh Tandon, president, chief compliance officer, and sole owner of Simran Capital Management, recently agreed to a settlement with the SEC relating to alleged violations of the Investment Advisers Act of 1940 and the...more

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