Investment Company Act 1940 Rule 34(b) – Global Relay Intelligence & Practice

Investment Company Act 1940 Rule 34(b)

Enforcement

SEC charges ESG RIA WisdomTree over inadvertent tobacco, fossil fuel investments

October 24, 2024

The charges arise from prospectuses stating that the company would exclude ESG-negative industries from its investments.

Alexander Barzacanos2 min read