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 August 3, 2015 Issue

SEC Stresses Compliance Program Failures in Case Against Adviser

The SEC did something a bit unusual in a recent administrative order instituting a settlement with an adviser: It gave at least equal weight to charges of compliance program failure and best execution failure. In fact, it listed the allegations of compliance program failure first.

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.