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Investment Adviser › Securities and Exchange Commission (SEC) › Surveillance

Dechert LLP

Recent New York Legislation Highlights Tension Between Employee Privacy and Regulatory Compliance for Broker-Dealers and Advisers

Dechert LLP on

As of today, March 12, 2024, a New York state statute, in certain circumstances, restricts employers “from requesting or requiring that an employee or applicant disclose any . . . means for accessing a personal account...more

Eversheds Sutherland (US) LLP

Compliance Tips: Broker-Dealer and Adviser Use of Personal Devices

Eversheds Sutherland (US) LLP on

Now that the dust has settled on the SEC’s enforcement action against fifteen (15) broker-dealers and an investment adviser for violations of SEC recordkeeping rules applicable to the use of personal devices and off-channel...more

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