Regulation
Invesco Pays $17.5M Fine to Settle SEC Greenwashing Charges
However, the future of ESG regulation in the U.S. is unclear under a second Trump administration.
Tag: Fine
Research
Coinbase Unit Fined $4.5M in UK for Offering Crypto Trading to High-Risk Investors
The UK’s FCA alleged CB Payments’ repeated breaches of a voluntary requirement went undiscovered for almost two years.
Newsmakers
Bloomberg Settles SEC Charges of Misleading Pricing Disclosures
Firm pays $5 million fine related to its BVAL service’s fixed-income pricing.
Regulation
Morningstar to Pay $3.5 Million SEC Conflict of Interest Penalty
Analysts conducted both sales and ratings operations, the US securities regulator said.
Regulation
Bloomberg Fined $5 Million by SEC for Brokerage Practices
The company’s subsidiary, Bloomberg Tradebook, allegedly transferred low-commission client orders to unaffiliated broker dealers.
Asset Allocation
Athene Fined $45 Million for Unlicensed Pension Risk Transfers
New York regulator said the firm illegally entered into 14 risk transfer deals.
FCA Fines Goldman Sachs £34.3 Million for Reporting Failures
Firm allegedly made more than 220 million errors over nearly a decade.