Macquarie investment adviser to pay $79.8 million to settle SEC charges, regulator says

Reuters

2024/09/19

NEW YORK, Sept 19 (Reuters) - Macquarie Investment Management Business Trust has agreed to pay $79.8 million to settle charges in connection with overvaluing collateralized mortgage obligations $(CMO)$ held in advisory accounts, the U.S. Securities and Exchange Commission said.

The regulator found the registered investment adviser over-valued about 4,900 largely illiquid CMOs in 20 advisory accounts, including 11 retail funds and also executed hundreds of cross trades that favored certain clients over others.

(Reporting by Chris Prentice)

((christine.prentice@thomsonreuters.com; +1 (202) 843-6464;))

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+1 (202) 843-6464;))</p></body></html>\n\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":null,"symbol_name":null,"start_time":0,"source_url":"https://api.rkd.refinitiv.com/api/News/News.svc/REST/News_1/RetrieveStoryML_1","article_id":"2468641504","we_media_id":"1036604489","thumbnails":[],"rights":null,"url":"https://stock-news.laohu8.com/highlight/detail?id=2468641504","pubTimestamp":1726760544,"columns":[],"sourceInfo":null,"weMediaInfo":{"media_name":"Reuters","introduction":"Reuters.com brings you the latest news from around the world, covering breaking news in markets, business, politics, entertainment and technology","home_visible":1,"id":"1036604489","head_image":"https://static.tigerbbs.com/443ce19704621c837795676028cec868"},"summary":"NEW YORK, Sept 19  - Macquarie Investment Management Business Trust has agreed to pay $79.8 million to settle charges in connection with overvaluing collateralized mortgage obligations  held in advisory accounts, the U.S. Securities and Exchange Commission said.   The regulator found the registered investment adviser over-valued about 4,900 largely illiquid CMOs in 20 advisory accounts, including 11 retail funds and also executed hundreds of cross trades that favored certain clients over others. ","collect":0,"end_time":0,"defaultTopTitle":"","property":[],"viewcount":null,"language":"en","relate_stocks":{},"translate_title":"监管机构称麦格理投资顾问将支付7980万美元以和解SEC指控","themeId":null,"isJumpTheme":false,"ttsUrl":null,"symbols_score_info":{"CMO":1},"content_text":"NEW YORK, Sept 19 (Reuters) - Macquarie Investment Management Business Trust has agreed to pay $79.8 million to settle charges in connection with overvaluing collateralized mortgage obligations $(CMO)$ held in advisory accounts, the U.S. Securities and Exchange Commission said.   The regulator found the registered investment adviser over-valued about 4,900 largely illiquid CMOs in 20 advisory accounts, including 11 retail funds and also executed hundreds of cross trades that favored certain clients over others. (Reporting by Chris Prentice)((christine.prentice@thomsonreuters.com; +1 (202) 843-6464;))","kind":"highlight","is_publish_news":true,"is_publish_highlight":false,"is_publish_live":false,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"symbols":[],"gpt_button":1,"need_auth":false,"code":"91000000","status":"200"}}}