All AssetMark Financial Holdings articles

  • SECcrop
    News Brief

    SEC orders AssetMark to pay $18M in conflicts of interest case

    2023-09-27T18:23:00Z

    Investment adviser AssetMark agreed to pay more than $18 million to settle allegations by the Securities and Exchange Commission regarding undisclosed conflicts of interest involving its affiliate’s cash sweep program and its revenue-sharing arrangements with third parties.