Defendant Name: Fidelity Management & Research Company

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matte of Fidelity Management & Research Company and FMR Co., Inc.
First Document Date 25-Aug-2016
Initial Filing Format Administrative Action
File Number 3-12976
Allegation Type Broker Dealer

Violations Alleged

Other
• Failure to supervise within the meaning of Section 203(e)(6) Advisers Act

Resolutions

First Resolution Date 25-Aug-2016
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-2713 25-Aug-2016 Administrative Proceeding
Order Instituting Administrative And Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940

Other Defendants in Action:

FMR Co., Inc.

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