SEC Targets State Street on Usage of Consultants and Lobbyists
The U.S. Securities and Exchange Commission (SEC) had served a Wells notice to Boston-based State Street Corporation. The notice is for informing State Street that SEC employees plan to ask the commission for authorization to bring a civil enforcement action that would allege violations of U.S. securities laws. It is important to note that receiving a Wells notice is not a guarantee of SEC action. Regulators have increased surveillance over questionable pension dealings with asset managers and service providers.
Consultants and Lobbyists
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