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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 ...
[159] [160] [161] In May 2022, the SEC proposed two rules changes to ESG investment fund qualifications to prevent greenwashing marketing practices and to increase disclosure requirements for achieving ESG effects. [list 2] In October 2022, the SEC announced that it would re-open the public comment window for the ESG disclosure rules proposal ...
2019: The SEC first contacts the LDS Church over its reporting structure. [9] 2020: EP files a consolidated disclosure for the first time. [11] 2023: On February 21, the SEC announces publicly the charges against the LDS Church and EP, along with the settlement. The church agrees to pay $1 million and EP agrees to a $4 million penalty. [9]
By Clark Mindock and Ross Kerber (Reuters) -A judge in Oklahoma blocked a state law that prohibits state pension systems from contracting with companies that limit investment in the oil and gas ...
The rise of environmental, social and governance (ESG) funds is now drawing the attention of the Securities Exchange Commission (SEC) just as the topic became one of the most searched financial ...
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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