September 4, 2024/Aetoswire AIM Congress, the world’s premier investment platform, is set to convene in Abu Dhabi from April 7-9, 2025, under the theme “Mapping the Future of Global Investment: The New Wave of a Globalized Investment Landscape– Towards a New Balanced World Structure”. AIM 2025 will bring together industry […]
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SEC Charges Advisory Firm ClearPath with Custody Rule and Liability Disclaimer Violations
September 4, 2024/US SEC The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements. According to the SEC’s […]
SEC Charges Six Credit Rating Agencies with Significant Recordkeeping Failures
Firms admit to wrongdoing and agree to pay penalties totaling more than $49 million to settle SEC charges September 4, 2024/US SEC The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain […]
