The Securities and Exchange Commission (SEC) has taken action against investment advisory firm BlackRock Advisors, LLC (NYSE: BLK) for allegedly failing to provide an accurate description of substantial investments in the entertainment sector related to a publicly traded fund
Regulatory Update and Recent SEC Actions October 2023 natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
DWS Investment Management s American operations will pay the US Securities and Exchange Commission US$25 million to settle charges stemming from greenwashing claims and failures to develop an anti-money laundering (AML) program for mutual funds it advised.