Industry News

SEC sanctions mutual fund greenwashing

Industry

SEC sanctions mutual fund greenwashing

Fund manager pays US$1.5 million to settle allegations involving ESG disclosure

By James Langton |May 24, 2022

2 min read

U.K. regulators ponder post-pandemic reforms for money markets

Industry

U.K. regulators ponder post-pandemic reforms for money markets

The FCA is seeking changes to address liquidity concerns revealed in March 2020

By James Langton |May 24, 2022

1 min read

Mutual fund, ETF assets take a hit from rough markets

Industry

Mutual fund, ETF assets take a hit from rough markets

Mutual funds saw net redemptions in April while ETF sales stayed positive, IFIC reported

By James Langton |May 24, 2022

1 min read

Decorative pattern

Industry

NASAA targets deadbeat brokers

Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions

By James Langton |May 20, 2022

1 min read