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Another Rural/Metro Lesson for Sell-Side Advisors: Bank Agrees to Pay $2.5 Million to SEC to Settle Proxy Statement Claims
2 September 2016
View Client Update
SEC sanctions sell-side financial advisor for disclosure issues in its fairness presentation and client’s proxy statement.
Enforcement action indicates increased focus by SEC on financial advisors.
SEC action illustrates need for financial advisors to be precise in fairness presentations and to carefully review proxy disclosures relating to the advisor and its financial analysis.
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Andrew L. Bab
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William D. Regner
UK Modern Slavery Act Transparency Statement
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