Massachusetts-based investment adviser Moors & Cabot reached an approximately $1.9 million settlement with the Securities and Exchange Commission (SEC) over allegations the firm didn’t fairly disclose conflicts of interest associated with incentive payments it received from two unaffiliated clearing brokers.
Adrianne Appel writes regulatory news, policy, and trends for Compliance Week. She previously reported about policy developments for Bloomberg Law and Bloomberg Government. Email: adrianne.appel@complianceweek.com LinkedIn:... More by Adrianne Appel
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