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Harper Brown

Foley & Lardner LLP

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Dual-Hatted CEO and CCO Named Individually in SEC Settlement for Compliance Violations

On December 5, 2022, the SEC filed a settled action against investment advisory firm Two Point Capital Management Inc. (the Firm) and its chief executive officer, who also served as the Firm’s chief compliance officer until...more

12/23/2022  /  CEOs , Chief Compliance Officers , Compliance , Corporate Counsel , Investment Adviser , Investment Advisers Act of 1940 , Policies and Procedures , Securities and Exchange Commission (SEC) , Settlement
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