Regulatory Alerts2022-07-15
Added · Updated
Consent Order: Perkins Fund Marketing, L.L.C.
Perkins Fund Marketing, L.L.C. must pay a $10,000 administrative fine and refrain from violating the Connecticut Uniform Securities Act, specifically regarding the failure to maintain adequate supervisory procedures for outside business activities and private securities transactions. The entity consents to the entry of sanctions without admitting or denying the allegations, waiving procedural rights such as a hearing or judicial review. This Consent Order becomes final upon entry by the Banking Commissioner on July 13, 2022.
Topics
Share