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

10 Things
10 Women...who chair the Audit Committee

The percentage of female independent directors serving on mutual fund boards has increased impressively in recent years, jumping from about 20% 10 years ago to nearly 40% ...