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The undertakings also include reorganization of the firms' compliance functions and the hiring of an independent compliance consultant to conduct a comprehensive review of the firms' overall supervisory and compliance policies and procedures — specifically the disclosure, recordkeeping and reporting processes for the quantitative investment model. The case was investigated by Jason P. Lee and Marshall S. Sprung of the Los Angeles office. Alice L. Schulman, Arturo Hurtado, and Michael Tomars, securities compliance examiners in the San Francisco office, conducted the related examination under the supervision of branch chief Kenneth P.
Allan I. Kahn of the New York Regional Office also participated in the investigation. Sprung and Kahn are members of the Asset Management Unit. The SEC's investigation is ongoing. The SEC acknowledges the assistance of the U. Marshall S. Our people make the difference. We balance decades of experience and our capacity for fresh thinking to find better information and generate better insights, which we believe will deliver better investment outcomes for our clients.
We are committed to a more sustainable form of equity investing and believe that this will deliver better investment results in the long term. Find out more about Rosenberg and ESG. Factor strategies Enhanced Indexing Small Cap. How do you like your coffee? Whatever you prefer, all coffees contain a small number of key ingredients. For decades, investors h Despite Covid lockdowns being eased in many countries, the crisis continues to hinder global economic activity.
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