Dual-Registrant argues it can’t pay fine in mutual fund case

Respondent has submitted a sworn Statement of Financial Condition, dated February 29, 2020, supplemented as of June 30, 2020, and other evidence and has asserted its inability to pay a greater civil penalty amount

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.