See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News September 15, 2014 Issue

Inadequate Compliance Procedures Lead to Charges

A firm that allegedly did not fully develop compliance policies and procedures to address conflicts of interest relating to trade allocation has agreed to hire an independent compliance consultant and pay a $300,000 civil money penalty as part of a settlement with the SEC.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight and receive a time-limited $200 discount! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.