Year: 2017

This Week In Securities Litigation (Week ending August 25, 2017)

The Commission filed actions against investment advisers or their associates this week involving: compliance issues tied to political intelligence regarding government agencies like CMS; another centered on the payment of excessive fees; and a third involving unauthorized transactions. Municipal securities

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SEC Charges Adviser With Deficient Controls

The SEC has in the past brought actions against political intelligence firms. One involved compliance procedures and required admissions as part of the settlement. In the Matter of Marwood Group Research, LLC, Adm. Proc. File No. 3-16970 (Nov. 24, 2015).

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