News/Compliance & Enforcement/Dual-Hatted CEO and CCO Named Individually in SEC Settlement for Compliance Violations

Expert Opinion·Compliance & Enforcement Brief

Dual-Hatted CEO and CCO Named Individually in SEC Settlement for Compliance Violations

PubK AdminJanuary 6, 2023 · 1 min read

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On December 5, the SEC filed a settled action against investment advisory firm Two Point Capital Management Inc.

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