MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication
an InvestmentWires' Publication
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|
MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication |
|
Tuesday, July 2, 2013 SEC Welcomes New Staff to Its Asset Management Unit The SEC promoted two staff people to lead the Division of Enforcement Management Unit, InvestmentNews' Mark Schoeff reported today. Julie M. Riewe and Marshall Sprung have served as deputy chiefs at the unit, which targets investment advisers and companies as well as private funds, since 2012. Sprung and Riewe were responsible for creating risk based initiatives to address new fraud trends in asset management. They have also supervised cases that involved fraudulent asset valuations, securities rip-offs on social media, and lack of disclosures on the factors that decide which investment advisory contracts get rewarded. To read the full story, click here. Printed from: MFWire.com/story.asp?s=44679 Copyright 2013, InvestmentWires, Inc. All Rights Reserved |