State Street On The Hot Seat, Receives Wells Notice
State Street Corp. received some bad news from the U.S. Securities and Exchange Commission, receiving a Wells notice regarding its solicitation of business in the public pension plan domain.
State Street: Wells notice investigation said to center on use of lobbyists
The SEC is investigating how State Street used lobbyists and consultants to influence the decision making process, a growing focus of SEC enforcement actions. Federal rules prohibit an . . .
SORRY! This content is exclusively for paying members. If you are subscribed and having an account error please clear cache and cookies if that does not work email [email protected] or click Chat.
|
