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SEC Brings Charges Against SEC Registered Investment Adviser for Improperly Allocating Expenses and Other Violations of the Investment Advisers Act of 1940 (the “Advisers Act”)
25 Mar 2014, 10:17 am by Thomas Devaney
CEC also did not send audited financial statements to the limited partners of the ECP Funds until January 2013, at which time it sent audited financial statements for fiscal year 2011. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/