SEC actions: A year in compliance sanctions
The agency levied $4.3bn in penalties in fiscal year 2019 and brought 191 cases against investment advisors and investment companies, a nearly 77% increase on the previous fiscal year.
The agency levied $4.3bn in penalties in fiscal year 2019 and brought 191 cases against investment advisors and investment companies, a nearly 77% increase on the previous fiscal year.
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