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What is Trapeze Asset Management Settlement Details about?

Trapeze Asset Management Inc., a Toronto-based investment firm, agreed to pay $1.25 million to settle claims that it violated its know-your-client and suitability obligations. Specifically, Trapeze inaccurately assessed the risk levels of many investments made for clients between 2006-2010 and concentrated client investments in a small number of issuers. As part of the settlement, Trapeze and its co-founders agreed to pay $1 million in penalties and hire a consultant to review its practices and client accou

Author

investmentadvisors07

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EN