The Securities and Exchange Commission (SEC) announced
charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce,
Fenner & Smith Inc. These charges arise from violations related to
exceeding clients’ designated investment limits over a two-year period,
beginning in March 2016. This resulted in clients paying higher fees…
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发布者：BY PETER THOMSEN，转转请注明出处：https://robotalks.cn/sec-imposes-9m-penalties-on-harvest-and-merrill-lynch-over-investor-risk-violations/
The USD/JPY set nosedives to near 142.50 in Friday’s North American session …Read More
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