In this virtual training, you will be immersed in a true-to-life ESG-related risk event involving a rival business’s greenwashing practices and the associated regulatory scrutiny it brings to your own firm’s policies and procedures.
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Investment adviser Toews Corp. agreed to pay $150,000 as part of a settlement with the Securities and Exchange Commission (SEC) over proxy voting rule violations that prompted two commissioners to issue a dissenting statement.
Toews, based in New Jersey, hired a third party to cast proxy votes on behalf of the registered investment companies (RICs) it managed, but it did not review whether the votes were cast in those clients’ best interests, the SEC alleged in its order filed Tuesday.
The company also didn’t put in place policies and procedures to ensure the votes cast were in clients’ best interests, the SEC said.
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