Pensions & Investments16d
SEC guidance throws BlackRock, Vanguard and other asset managers into confusion over public company meetings
The Securities and Exchange Commission’s new guidance earlier this month on investor activism and engagement with portfolio ...
Vanguard resumes stewardship meetings after reviewing SEC guidance
Top mutual fund firm Vanguard has resumed stewardship meetings with portfolio companies after reviewing new guidance from ...
Vanguard to Pay More Than $100M to Resolve SEC Violations
The SEC’s order finds that Vanguard’s disclosures failed to warn investors about tax risks tied to fund redemptions.
Hosted on MSN1mon
Vanguard settles SEC charges with $106.4M fine
Vanguard, one of the world’s largest asset managers, has agreed to pay a $106.4 million fine to settle charges brought by the Securities and Exchange Commission (SEC).
Hosted on MSN1mon
Vanguard fined more than $100 million by SEC over violations involving target date retirement funds
The fine of $106.41 million will be distributed to harmed investors, the SEC said. Vanguard agreed to the fine without admitting or denying the SEC’s findings. Vanguard is one of the world’s ...
The Business Journals1mon
SEC, Arizona reach settlement with Vanguard over retirement funds
The Securities and Exchange Commission said on Jan. 17 it had reached a multimillion-dollar settlement with Vanguard Group related to what the SEC had alleged were misleading statements related to ...