SEC: Advisory Firm Atom Investors, Charged With Recordkeeping Violations, Avoids Civil Penalty Because of Self-Reporting, Substantial Cooperation, Prompt Remediation
September 25, 2024
September 25, 2024
WASHINGTON, Sept. 25 -- The Securities and Exchange Commission issued the following news release on Sept. 23, 2024:
The Securities and Exchange Commission today announced charges against Texas-based registered investment adviser Atom Investors LP for its failure to maintain and preserve off-channel communications in violation of the recordkeeping provisions of the federal securities laws. The Commission did not impose a penalty because Atom Investors self-reported the conduct, promp . . .
The Securities and Exchange Commission today announced charges against Texas-based registered investment adviser Atom Investors LP for its failure to maintain and preserve off-channel communications in violation of the recordkeeping provisions of the federal securities laws. The Commission did not impose a penalty because Atom Investors self-reported the conduct, promp . . .