In the Margins

SEC looks into Guggenheim Bob Diamond investments

October 17, 2017

By Bloomberg

The Securities and Exchange Commission is reviewing whether Guggenheim Partners inappropriately steered client money into Bob Diamond’s businesses. The review is part of a broad examination of Guggenheim by SEC lawyers in Los Angeles, though Guggenheim hasn’t been accused of any wrongdoing. Read the original story from Bloomberg

 

 

Most Read

Top of the Agenda - Governance
Victory-USAA deal: New board leadership on deck

In an unusual move, the board overseeing USAA's mutual funds is planning to replace its long-serving independent chairman with an interested chair upon completion of Victory ...