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SEC Names Deputy Director

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The Securities and Exchange Commission has announced that Andrew J. Bowden has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE).

SEC Charges Quant Manager With Fraud

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Washington, D.C. — The Securities and Exchange Commission has charged the co-founder of institutional money manager AXA Rosenberg with securities fraud for concealing a significant error in the computer code of the quantitative investment model that he developed and provided to the firm's entities for use in managing client assets.

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