SEC Fines PIMCO $9 Million

IMP on 7/6/23 1:47 PM Compliance, SEC, Investing

On June 16th the SEC published a press release detailing the charges against the Pacific Investment Management Company LLC (PIMCO). PIMCO is one of the largest global asset managers in the world with nearly 3,500 employees worldwide and >$1.8 trillion in Assets Under Management (AUM) as of March 2023. 

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IMP is a FinTech & RegTech consulting firm serving buy-side investment managers worldwide.

We work with asset managers on their Order Management (OMS), Compliance, Risk, Middle Office & Back Office Systems. We have helped firms from ~$5 billion AUM to >$2 trillion AUM streamline and enhance their current systems, find new systems and implement them, upgrade one or more areas of the trading workflow, and train their staff. 

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