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SEC Sanctions an Investment Adviser for Several Compliance Deficiencies

by | Feb 25, 2022 | ADV Part 2A, Books and Records, compliance deficiencies, Conflicts of Interest, Deficiencies, Hedge Clause, Investment Advisers Act, SEC Rules

On January 11, 2022, a Registered Investment Adviser (RIA) in Rockaway, New Jersey, consented to the entry of an SEC order that sanctioned the firm for several compliance deficiencies. The RIA also agreed to be censured and to cease-and-desist from engaging in the...