A recent settled SEC order, In re Arlington Capital Management, Inc. and Joseph F. LoPresti, highlights the potential benefits of voluntarily taking steps to remediate conduct or practices that could run afoul of the SEC’s...more
5/4/2018
/ Chief Compliance Officers ,
Corporate Misconduct ,
Enforcement Actions ,
Investigations ,
Investment Adviser ,
OCIE ,
Policies and Procedures ,
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Securities and Exchange Commission (SEC) ,
Settlement ,
Voluntary Remediation Program (VRP)