United States: Investment Adviser Settles SEC Charges For Unsuitable Investments In Volatility-Linked Exchange-Traded Products - Cadwalader, Wickersham & Taft LLP

United States: Investment Adviser Settles SEC Charges For Unsuitable Investments In Volatility-Linked Exchange-Traded Products - Cadwalader, Wickersham & Taft LLP

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An investment adviser settled SEC charges for failing to adopt reasonably designed policies with respect to the holding period for a volatility-linked exchange-traded product ("ETP") held in advisory clients' accounts.

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