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Fund's adviser, officers, directors face 'aiding, abetting' charges related to liquidity rule

05/05/2023

The Securities and Exchange Commission on Friday said it has charged an investment adviser, its CCO, its fund's president, and two independent fund directors with "aiding and abetting liquidity rule violations." The charges are the first ever brought by the regulator related to enforcement of the liquidity risk management rule it ... Log in to view full article.

 


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