SEC fines chief compliance officer for inaccurate securities filing

By AML FCPA, Regulation, USA

 

SEC fines chief compliance officer for inaccurate securities filing .

The Securities and Exchange Commission Tuesday fined a chief compliance officer for failing to verify information provided by an investment adviser that turned out to be false.
David I. Osunkwo was fined $30,000 and suspended for a year from certain jobs related the investment adviser and securities industry. The FCPA Blog

 

http://www.fcpablog.com/blog/2017/8/17/sec-fines-chief-compliance-officer-for-inaccurate-securities.html

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