Month: September 2014

Conflicts of interest are at the center of two administrative proceedings recently instituted by the SEC. One involved the failure to adequately disclose the conflict. The other focuses on a failure to institute appropriate supervisory procedures for a known conflict. …

SEC Proceedings Against IAs Center On Conflicts of Interest Read More »

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Since the formation of the financial task force, and its related data group, there has been speculation regarding the focus of the new program and the impact of big data techniques. One indication of how the program could unfold may …

CEO, CFO Charged In SEC Financial Fraud Action Read More »

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