‘A lesson to us about the severity of the SEC’s view on disclosure’

Compliance: Peter DiCaprio, founder of advisory firm Crow Point Partners, spoke to affiliate title Regulatory Compliance Watch about a settlement he reached with the Securities and Exchange Commission. “Our interaction with the SEC was a lesson to us about the severity of the SEC’s view on disclosure of industry relationships even when no investments are made or de minimis amounts of money are involved,” he told Bill Myers.

Email prepared by Graham Bippart