The Securities and Exchange Commission (SEC) on Thursday filed a civil action against investment management firm LJM and two of its portfolio managers for fraudulently misleading investors about the company’s risk management practices and the level of risk in its portfolios.

Learn More
Already a member? Sign in to an existing account.

Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...