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Goldman Sachs (GS) will pay a $4-million penalty as the SEC's asset-management arm failed to screen investments per required policies.
In June 2022, the SEC was reportedly investigating the ESG investment funds of Goldman Sachs for potential greenwashing. [192] In November 2022, Goldman Sachs agreed to pay $4 million to settle the SEC investigation of the company's ESG funds for greenwashing without admitting or denying guilt of the SEC's allegations. [193]
WASHINGTON (Reuters) -The U.S. Securities and Exchange Commission on Tuesday charged Goldman Sachs Asset Management with failing to follow its policies and procedures involving environmental ...
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The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February ...
VettaFi Head of Research Todd Rosenbluth joins Yahoo Finance Live to discuss ESG funds, new SEC rulings, Tesla being dropped from the S&P 500 ESG index, and the outlook for investors.
During Schapiro's tenure at the SEC, the agency improved its enforcement program, creating new structures, procedures, and programs to better address the modern financial markets, including: bringing 735 enforcement actions in FY 2011 and 734 actions in FY 2012; obtaining more than $11 billion in ordered disgorgements and penalties since FY ...
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