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SEC Fines Mass. Firm $1M Over Convertible Bond Disclosures

By Katryna Perera (September 25, 2023, 5:48 PM EDT) -- The U.S. Securities and Exchange Commission on Monday reached a $1 million settlement with investment firm Wellesley Asset Management Inc. to resolve allegations that the firm issued misstatements and omissions to clients in marketing materials about an index that it created to depict the performance of its convertible bond investment strategy from January 2000 forward....

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