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Home>SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing Assets

SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing Assets

Advisor One

Thu, 29 Nov 2012

Three top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the fund’s assets during the financial crisis. a complaint against the

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