SEC, Invesco

SEC Charges Invesco Advisers for Making Misleading ESG-Related Statements
The Securities and Exchange Commission today charged Invesco Advisers, Inc. for making misleading statements about the percentage of company-wide assets under management that integrated environmental,
Invesco to pay $17.5M to settle SEC charges of misleading statements
Invesco Advisors has agreed to pay $17.5 million to settle a civil complaint by the U.S. Securities and Exchange Commission.
JPMorgan to Pay $151 Million to Settle SEC Charges In Multiple Enforcement Actions
The regulator accused two units of JPMorgan of misconduct, including failing to make recommendations in the best interest of customers.
J.P. Morgan to Pay $150M to Settle Slew of SEC Charges
In one case, the firm agreed to pay $45 million to settle charges that it didn’t disclose financial conflicts regarding a portfolio management program to clients.
Invesco settles SEC greenwashing charges
U.S. fund giant Invesco Advisers Inc. is settling greenwashing allegations brought by the U.S. Securities and Exchange Commission (SEC). The regulator alleged that Invesco violated securities regulations by misleading investors about the share of its assets under management (AUM) that integrated ESG factors into investment decisions.
SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations
November 8, 2024) - The Securities and Exchange Commission today charged Invesco Advisers, Inc. for making misleading statements about the percentage of company-wide assets under management that integrated environmental,
Invesco Advisers’ ESG Claims Draw $17.5 Million Fine From SEC
Invesco Advisers Inc. will pay a $17.5 million fine to settle US Securities and Exchange Commission allegations that it misled clients about the share of company-wide assets under management that integrated environmental,
JD Supra3d
SEC Charges Investment Company, CEO and Board Member for Alleged Misleading Statements Regarding Use of Artificial Intelligence
Quick Take: The SEC recently settled charges against a registered investment adviser (Adviser) and its parent company (Company), the Company’s CEO, and a board member of the Company for, among other ...
Think Advisor2d
SEC Enforcement Chief Doubles Down on Need for Texting Crackdown
Sanjay Wadhwa, a cting director of the Securities and Exchange Commission's Division of Enforcement, explained the scope of ...
Recent SEC Enforcement Actions
A review of key topics and trends from settled enforcement actions announced by the Securities and Exchange Commission (SEC) ...
JD Supra3d
SEC Charges Crypto Market Maker as Unregistered Dealer
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, ...
Pensions&Investments2d
SEC acting enforcement director discusses off-channel communications, Trump win
The acting head of the SEC enforcement division touted the staff’s focus on firms’ off-channel communications, such as ...
pharmaphorum3d
Cassava’s Alzheimer’s drug nears P3 readout, but SEC scandal casts long shadow
Cassava then released the altered data in a press release and investor deck, which led the SEC to allege that the company and ...
Miami startup CEO settles SEC charges for allegedly lying to investors
The SEC stated there was "no possibility" that the Miami startup would have been able to deliver on the money it raised to ...
JD Supra5d
SEC Penalties Relating to Cybersecurity Disclosures
On October 22, 2024, the Securities and Exchange Commission (“SEC”) charged four current or former publicly traded ...