Can I read SEC Cease-and-Desist Order: Highland Capital on EtoBox?

SEC Cease-and-Desist Order: Highland Capital by Brie Teicher is a document available to read on EtoBox.

What is SEC Cease-and-Desist Order: Highland Capital about?

This order institutes administrative and cease-and-desist proceedings against Highland Capital Management for violating provisions of the Investment Advisers Act of 1940. Specifically, Highland engaged in principal transactions without obtaining required consent from clients and failed to maintain proper books and records. Highland undertook to retain an independent consultant to review its compliance systems and make recommendations.

Author

Brie Teicher

Language

EN