News February 27, 2017 Issue
Share All Risks and Costs with Investors When Selling Securities
Sometimes even the big players need to learn a lesson about disclosure. Morgan Stanley Smith Barney and Citigroup Global Markets found this out the hard way when they each settled charges from the SEC that they made false and misleading statements about a foreign exchange trading program they sold to investors.
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.