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Browse: Home / 2016 / February / 17 / SEC dusts off Reg AC to charge former Deutsche Bank analyst | Compliance Week

SEC dusts off Reg AC to charge former Deutsche Bank analyst | Compliance Week

By Securities Docket on February 17, 2016, 3:22 pm

Today, the SEC announced that it has filed a settled administrative proceeding against Charles P. Grom, a former Deutsche Bank research analyst, for allegedly certifying a rating on a stock that was inconsistent with his personal view. The SEC alleged that Grom’s conduct violated the analyst certification requirement of Regulation Analyst Certification (“Reg AC”).

via SEC dusts off Reg AC to charge former Deutsche Bank analyst | Compliance Week

Posted in SEC, Top | Tagged Analysts, Regulation AC

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