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 June 8, 2015 Issue

Firm Pays the Price for Failing to Act on OCIE Deficiencies

Itís a simple lesson: Donít promise the SEC something you canít or wonít deliver. One adviser and its owner last month paid the Commission $50,000 as part of a settlement because, according to the SEC, it didnít learn that lesson.

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

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! 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.