Please enjoy this free trial of our subscription content service, for a limited time only.
Rules
SEC Rule 204-2
Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
Records to be kept include:
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
Alexander Barzacanos, Julie DiMauro4 min read
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
Eoghan Hartigan | Bovill Newgate, Damon Batten | Bovill, Sylvaine de Gantes | Bovill4 min read
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
Ji Kim | SEC33 min read
SEC's latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.
Julie DiMauro3 min read