FGIMCFederated Global Investment Management Corp (Pittsburgh, PA)
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According to the agency, from approximately 2001 to 2010, FGIMC used third-party consultants and research services, including one particular consultant who worked closely with the firm and periodically provided analysis and buy, sell, and hold recommendations with respect to pharmaceutical and biotechnology stocks.
Throughout the period of the consulting relationship, however, the consultant also served on the boards of four public companies, the stocks of which FGIMC's funds held at the time -- without the knowledge of FGIMC's senior management and compliance department.
That constituted a gap in FGIMC's compliance program.