Defendant Name:
Fidelity Management & Research Company
Defendant Type:
Other
Document Reference:
IA-2713
Document Details
Legal Case Name
In the Matter of Fidelity Management & Research Company and FMR Co., Inc.
Document Name
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
Document Date
25-Aug-2016
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$8,000,000.00
Shared:
Other Defendants in Action: