Wellesley Asset Management failed to properly disclose that it used hypothetical performance in advertisements for an index it created, according to the commission.
Shaping Wealth, a company specializing in behavioral finance training and helping advisors understand the psychology of financial planning, on Friday announced that it would soon hold its first-ever behavioral finance-focused virtual event.
DWS has been under scrutiny by various agencies including the SEC since a former employee went public over two years ago with cliams that the asset manager had inflated its ESG credentials.
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