Example: stock market
Sec 2018
Found 2 free book(s)
Overview of the Most Frequent Advisory Fee and ... - SEC
www.sec.govVolume VII, Issue 2 April 12, 2018 Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers I. Introduction The Office of Compliance Inspections and Examinations (“OCIE”) is ... 3 The SEC has brought enforcement actions, charging advisers with Advisers Act violations, based ...
J.P. Morgan Securities LLC - sec.gov
www.sec.govclient between at least January 2018 and November 2019, JPMorgan employees, including desk heads, managing directors, and other senior executives sent and received more than 21,000 securities business-related text and email messages using unapproved communications methods on their personal devices. These messages were not preserved by JPMorgan. 26.