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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Colorado investment firm fined $200K for inadequate compliance procedures
By 
Aaron Nicodemus2020-07-17T16:51:00
A Colorado-based investment advisory firm has been fined $200,000 and ordered by the SEC to improve its compliance practices regarding the purchase of securities on behalf of certain institutional investors.
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