SEC Finds Investment Adviser CEO Liable For Failing To Supervise High-Risk Representative - Securities
The U.S. Securities and Exchange Commission (SEC) continues to bring failure-to-supervise cases against registered firms and their senior management – including their chief executive officers – for allegedly not responding reasonably to red flags relating to their representatives' misconduct.
Exchange Commission Party Distribution Requests Division Of Enforcement Us Department Of Justice Delegation Of Supervisory Authority Branch Audits
Source: mondaq.com