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June 20, 2022 RCW Weekly Briefing

Charles Scwab pays a record $187 million to settle SEC robo 'cash drag' allegations, a Boston investment adviser missed 'red flags' in its short sales, a private equity adviser billed Peter to pay Paul, WhatsApp trips another broker-dealer and European private funds want the SEC to put America first (and only). All this and more in this week's Regulatory Compliance Watch Briefing.

Bill Myers

June 16 2022

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