On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
One Principal Barred for Three Years from Acting as Chief Compliance Officer A Michigan-based investment adviser and two of its principals are paying more than $900,000 to settle SEC charges...
The SEC has settled charges against a California-based adviser and its principal for failing to disclose adverse financial information and making false and misleading statements about a company to trustees...
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