NOT FOR REPRINT
SEC Fines Firm for Not Inspecting Advisors
News September 20, 2024 at 01:37 PM
Share & Print
What You Need To Know
- The firm was fined $150,000 for failing to spot-check the books and records or conduct periodic inspections of the advisors it supervised.
- JZAI also failed to conduct compliance training for all supervised persons, the SEC says.
- JZAI has taken steps to fix the problems.
NOT FOR REPRINT
© 2025 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.
