SEC charges Prudential units for misleading funds

17th September, 2019

Oliver Wade
SEC -securities and exchange commission GIG

AST and PRIM charged by the SEC for failing to disclose conflicts of interest to 94 funds they advise

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ABN AMRO
Bank of America
CBOE
Citi
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HSBC
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Marex
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SGX
SocGen
Susquehanna
MUFG Investor Services
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ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP

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