‘Enforcement 40’ for 2020
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By Securities Docket on May 23, 2022, 9:22 am
The Securities and Exchange Commission today charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in making investment decisions for certain mutual funds that it managed. To settle the charges, BNY Mellon Investment Adviser agreed to pay a $1.5 million penalty. The SEC’s order finds that, from July […]