Defendant Name: Asset Management Group of Bank of Hawaii

Defendant Type: Subsidiary of Public Company

Document Reference: IA-6127-s

Document Details

Legal Case Name In the Matter of Asset Management Group of Bank of Hawaii
Document Name SEC Charges Four Investment Advisers for Pay-to-Play Violations Involving Campaign Contributions
Document Date 15-Sep-2022
Document Format Administrative Proceeding
File Number 3-21080
Allegation Type Municipal Securities & Public Pensions
Document Summary The SEC stated that: "[It] charged Asset Management Group of Bank of Hawaii . . . for violating the SEC's pay-to-play rule for investment advisers"

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Monetary Penalties:

Civil Penalty

Individual:     $45,000.00 Shared:    

Related Documents:

IA-6127 15-Sep-2022 Administrative Proceeding
Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On September 15, 2022, the SEC instituted administrative and cease-and-desist proceedings against Asset Management Group of Bank of Hawaii, stating: "These proceedings involve violations of the Commission’s “pay-to-play” rule for investment advisers by Respondent Asset Management Group, an investment adviser."