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...
BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval June 15, 2021 The SEC has settled charges against a California-based investment adviser and its co-principal...
Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring, and Disclosures January 5, 2021 The SEC has fined a New Jersey-based dual-registrant over...
SEC Fines PE Fund Adviser $1.9 Million for Undisclosed Fee Practices, Criticizes Use of the Word “May” April 27, 2020 The SEC has settled charges with a New York-based private...
You are now leaving Investment Adviser Association
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
This website uses cookies so that we can provide you with the best user experience possible. Cookie information is stored in your browser and performs functions such as recognising you when you return to our website and helping our team to understand which sections of the website you find most interesting and useful.
Strictly Necessary Cookies
Strictly Necessary Cookie should be enabled at all times so that we can save your preferences for cookie settings.
If you disable this cookie, we will not be able to save your preferences. This means that every time you visit this website you will need to enable or disable cookies again.
