News & Analysis as of

Cease and Desist Orders › Misleading Statements › Compliance

Seward & Kissel LLP

SEC Charges Investment Adviser for Making Misleading ESG-Related Statements

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Investment Advisers; Compliance Staff - Quick Take: The SEC recently settled charges against a registered investment adviser (the Adviser) for making misleading...more

Thomas Fox - Compliance Evangelist

The Grinch, Tim Leissner and the SEC – The Schemes

Thomas Fox - Compliance Evangelist on

The Grinch is certainly a title that could be an allegory with disgraced Goldman Sachs Group Inc.’s former partner Tim Leissner about now. He was the lead Goldman Sachs banker who facilitated the firm’s work on bond offerings...more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide