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Hedge Fund To Pay SEC $5M Over Compliance Failures

By Reenat Sinay ( June 4, 2019, 3:16 PM EDT) -- A Colorado investment adviser agreed to shell out $5 million to settle allegations brought by the U.S. Securities and Exchange Commission that it failed to ensure compliance with SEC rules, which may have resulted in the undervaluing of its residential mortgage-backed securities and a gradual mark-up of prices, according to an administrative proceeding filed Tuesday....

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