Home | FCA & regulatory news | British English edition
Trade Hub UK

Independent coverage of UK markets, FCA policy and institutional trading
AD LSEG Data AD CME Group Education AD Bank of England Statistics AD Investing.com Markets
FCA & Rules

SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest

By SEC

SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest

The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective…

Read at source

Read also
  1. InterestMe Financial Planning Limited (IMFP) and the appointed representative InterestMe Advisers Limited (IMA) enter administration
  2. Bessent taps Jefferies strategist David Zervos as adviser
  3. Boss of Beaverbrooks urges government to give businesses ‘a bit of a break’
  4. Christine Lagarde: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
  5. FCA secures money back for victims of crypto fraud

Source: SEC