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SEC Fines Firm for Not Inspecting Advisors
News September 20, 2024 at 01:37 PM
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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.
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