SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
- Written by Newsfile
Washington, D.C.--(Newsfile Corp. - September 26, 2023) - The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash sweep program operated by its affiliated...