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Charged.pdf

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🔗 Source: sec.gov
📊 Size: 428 KB
👤 Author: U.S. Securities and Exchange Commission
⬇️ Downloads: 183

Summary

The Securities and Exchange Commission (SEC) instituted administrative and cease-and-desist proceedings against Two Point Capital Management, Inc. and its CEO, John B. McGowan, for violating the Investment Advisers Act of 1940. The violations include failing to adopt and implement reasonably designed compliance policies and procedures, failing to conduct annual reviews of the compliance program, and failing to establish, maintain, and enforce a written code of ethics. McGowan caused these violations and the company also failed to follow filing and delivery requirements for Form CRS in 2020. The respondents consented to the entry of the order without admitting or denying the findings, and the SEC imposed remedial sanctions and a cease-and-desist order.

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Description

The Securities and Exchange Commission (SEC) instituted administrative and cease-and-desist proceedings against Two Point Capital Management, Inc.

Technical Information

  • File Format: PDF
  • File Size: 428 KB
  • Pages: 7
  • Language: EN
  • Author: U.S. Securities and Exchange Commission
  • Total Downloads: 183
  • Last Updated: 1 week ago

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