On August 14, 2024 the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against 26 SEC-registered investment advisers, broker-dealers and dually-registered broker-dealers and investment advisers...more
9/3/2024
/ Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Data Preservation ,
Electronic Communications ,
Enforcement Actions ,
Investment Adviser ,
Mobile Devices ,
Recordkeeping Requirements ,
Regular Business Communications ,
Securities and Exchange Commission (SEC) ,
Settlement
On February 9, 2024 the U.S. Securities and Exchange Commission (the “SEC”) announced charges against 16 registered investment advisers and broker-dealers for pervasive recordkeeping failures related to off-channel...more
2/16/2024
/ Broker-Dealer ,
Compliance ,
Data Preservation ,
Electronic Communications ,
Enforcement Actions ,
Instant Messaging Apps ,
Mobile Devices ,
Penalties ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)