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PIMCO Settles Disclosure & Procedure Case for $9M

June 26, 2023 by Eugene Grygo

PIMCO Settles Disclosure & Procedure Case for $9M

Pacific Investment Management Company LLC (PIMCO) has agreed to a $9 million settlement with the Securities and Exchange Commission (SEC) over two enforcement actions concerning alleged disclosure violations and policies and procedures woes directly related to two funds that the bond giant oversees. “In the first action, the SEC found that, from September 2014 to… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Buy-Side, Operational Risk, Risk Management, Governance, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: compliance, data management, disclosure, performance measurement, PIMCO, policies and procedures, regulation, regulatory reporting, SEC, wall street

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