IMC ASSET MANAGEMENT, INC

Asset Manager

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Recent SEC action reminds investment advisers of importance of robust compliance program

In IMC Asset Management, Inc. (IMC), the SEC, after finding serious overall compliance program failures, required the firm’s CCO to complete comprehensive compliance training by December 31, 2013, required the firm to retain a consultant to render ...

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Lexology
March 14, 2013
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A Compilation Of Enforcement And Non-Enforcement Actions

This article expands on the key takeaways related to the enforcement action, and highlights some lessons learned from prior enforcement actions related to fair ... of the Advisers Act (In the Matter of IMC Asset Management, Inc., Investment Advisers ...

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Mondaq
March 4, 2013
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SEC takes enforcement action against adviser for inadequate written compliance policies and procedures

of the Advisers Act (In the Matter of IMC Asset Management, Inc., Investment Advisers Act of 1940, Release No. 3537, January 29, 2013). The SEC also alleged that the RIA failed to conduct an annual assessment of its policies and procedures as required ...

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Lexology
February 26, 2013
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