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Open Categories Menu Firm Fails to Institute Procedure for Bunched Orders (www.hedgefundlawblog.com) The fines can be hefty for breaking CFTC regulations or NFA rules. We have seen a large number of actions both with the SEC and the CFTC as well as with the NFA. Below is another example of a group who [...]
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Posts Tagged ‘ books and records ’
31 March
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News and Commentary, Regulatory Actions
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CFTC Fines BD/FCM For Books and Records Violations
26 August
SEC fines adviser and revokes registration
The SEC fined an investment adviser and revoked its registration because of willful refusal to follow simple investment adviser rules such as updating form ADV and submitting to a reasonable examination of its books and records. From SEC website: Commission Declares Decision as to Amaroq Asset Management, LLC and Dwight [...]
