SEC Consent Order Holds 5 Compliance Tips For Advisers
By Jonno Forman, Patrick Campbell and Krista Fuller ( January 4, 2023, 5:08 PM EST) -- A recent consent order published by the U.S. Securities and Exchange Commission — In the Matter of Horter Investment Management LLC and Drew K. Horter —is a stark reminder that the SEC will find investment advisers and their senior management liable where gaps in their supervisory programs allow misconduct by their representatives.[1]...
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