Pritchard, Therese; Kalinowski, Jeff; Ziesman, Jeff - In: Journal of Investment Compliance 14 (2013) 3, pp. 32-33
Purpose – The purpose of this paper is to remind investment advisers of the need for robust compliance policies and procedures in light of a recent SEC administrative proceeding in the case of IMC Asset Management, Inc. Design/methodology/approach – The paper describes discrepancies the SEC...