SEC Charges Investment Adviser with Recordkeeping Failures Related to “Off Channel” Communications
On April 3, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced charges against Senvest Management LLC (“Senvest”), a registered investment adviser, for longstanding recordkeeping violations and failing to enforce its code of ethics. Senvest agreed to settle the charges by paying a $6.5 million penalty and taking steps to
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