SEC fines CFTC-registered firm $2.5 million tied to disclosures

By failing to adequately inform the investing public, during the period April 24 through May 21, 2020, of the specific constraints put on the fund and, in turn, the impact that those constraints would have on the fund’s ability to meet its investment objective, each of the above public filings were materially misleading

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.