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advisory firms

Securities Exchange Commission

10 investment advisory firms have agreed to pay penalties to settle charges

18/01/2017(0)
10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions The Securities and Exchange Commission today announced that 10 investment advisory firms have agreed to pay ... Read More
Securities Exchange Commission

SEC fined 13 Investment Advisory Firms

26/08/2016(0)
The Securities and Exchange Commission today announced penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management ... Read More
FCA_regulator

FCA on advisory firms

07/04/2014(0)
The Financial Conduct Authority’s (FCA), has issued a press release arguing that too many advisory firms are not being clear with consumers on how much advice costs, the type ... Read More
Broker Cyprus TopFX