Buckingham settles with SEC over charges of information misuse
Capital management firms settle with SEC over failing to prevent misuse of non-public information
The Securities and Exchange Commission (SEC) has agreed a settlement with two New York-based firms and the chief compliance officer they shared over claims they failed to prevent misuse of public information.
The SEC said Buckingham Capital Management (BCM) and its parent company Buckingham Research Group (BRG) both “failed to establish, maintain and enforce written policies and procedures
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