BNY Mellon IA compliance personnel were unaware before mid-March 2020 that quality reviews were not prepared for all Overlay Fund investments, and thus lacked pertinent ...
Upon deployment of the new version of its AML transaction monitoring system, Wells Fargo Advisors failed to perform sufficient testing to ensure that the system ...
Bond-Nelson lied repeatedly during SEC testimony and refused to return from a restroom break late in the afternoon of the second day.... Tournant advised Taylor ...
Taylor was a managing director at Allianz Global Investors U.S., serving served as co-lead PM for a complex options trading strategy sold to approximately 114 ...
The Advisers Act, which prohibits an investment adviser, while acting as a principal for his own account, from knowingly selling any security to or purchasing ...