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About Current Compliance Developments for Advisers
IA & BD. GC. Failure to supervise under Exchange Act. Section 15(b) and Advisers Act Section. 203(f). (ALJ found that Urban had supervisory responsibility of the employee who engaged in the violations even though the employee did not report to Urban; ALJ ultimately dismissed the Division of
Detailed Information
| Author: | Unknown |
|---|---|
| Publication Year: | 2013 |
| Pages: | 172 |
| Language: | English |
| File Size: | 8.44 |
| Format: | |
| Price: | FREE |
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