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ESG continues to be a SEC enforcement focus

On November 15, 2022, the U.S. Securities and Exchange Commission (SEC) published a press release providing an overview of its 2022 enforcement…

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GSAM to Pay $4m Penalty - Traders Magazine

GSAM had several policies and procedures failures involving the ESG research.

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SEC fines Goldman Sachs AM $4m over lax ESG policies

The US Securities and Exchange Commission has fined Goldman Sachs Asset Management $4m for failing to properly uphold the firm’s ESG policies.

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Goldman Sachs to pay $6m penalty over ESG fund claims

US regulator says bank staff completed company screenings after they were already picked for portfolios.

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Goldman Sachs to pay $4 million SEC penalty in ESG fund case

Goldman Sachs to pay $4 million SEC penalty in ESG fund case
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