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SEC Charges Chief Compliance Officer for Failure to Verify Information

Legal News, Lawyers, Law Firms

David I. Osunkwo was a principal at Strategic Consulting Advisors, LLC, or SC Consulting. SC Consulting offered compliance consulting and CCO services to two SEC registered investment adviser firms under common control, Aegis Capital, LLC and Circle One Wealth Management, LLC. Respondent Osunkwo, a principal at SC Consulting, was designated as CCO to both Aegis Capital and Circle One...

Mentions: SEC Compliance