Tag Archives: Investment Advisers Act of 1940

To make the charges go away, GSAM agreed to pay a $4 million penalty. AutoInformed notes with no insider knowledge of this matter whatsoever or holdings of Goldman products to the best of its knowledge, that this is a minor parking ticket. Could it be that the SEC was perhaps lagging in its regulatory duties under the previous administration, and is now using this as a public relations ploy as it plays catch-up  monitoring such investments? Continue reading →