Rating agency hit with €1.1-million penalty for internal control shortcomings
The firm updated marketing information published prior to the emergence of ESG guidance
A review identified gaps in addressing conflicts associated with proprietary products
Lawsuits, rising regulatory, reputation risk could accelerate economic transition
Investors and supervisors need data on underlying assets, regulators say
Despite risks, lure of flows, revenues expected to keep managers keen on green funds: Fitch
Company sold shares to a vulnerable investor without a prospectus or exemption
The case can either proceed to a contested hearing or the two sides may seek a new deal
Regulator issues initial guidance targeting financial firms' climate risk management, governance
Tribunal finds that rep's interest in client's estate didn't result from a breach of securities law