Ballek did not admit wrongdoing in connection with the regulator's claims she modified company records that were part of an SEC examination.
Overview
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If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
SEC's latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.