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News January 15, 2018 Issue

SEC Charges Gatekeepers in Federal Court with Aiding and Abetting Fraud

Don’t expect the crackdown on "gatekeepers" – attorneys, accountants, consultants and other third parties that work with advisory firms – to let up any time soon, even with a new SEC chairman at the helm. The agency recently filed charges in U.S. District Court against an attorney and an accountant for allowing, if not enabling, an adviser’s alleged misappropriation of more than $9 million from a charitable foundation.

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