Research reveals vulnerability in legacy telecoms standards that is being overlooked by finance firms.
SEC Rule 17a-1
Requires securities exchanges and other listed organizations to keep and preserve at least one copy of all documents made or received by in the course of business as such as well as in connection with the conduct of its self-regulatory activity.
Overview
Latest News
Latest News
The defendants allegedly defrauded investors and client funds in connection with investments in pre-IPO shares while charging millions in undisclosed fees.
Our in-brief roundup of notable stories from the last week.
The new unit will be staffed by attorneys and accountants with specialized skills related to financial reporting, accounting, and auditing.
Tony McClements discusses Jonathan Fisher KC’s independent review, "Fraud in the Digital Age" and argues whistleblowers should be compensated.
The broker-dealer failed to properly monitor more than 61,500 foreign currency wires after previously settling similar charges in 2018.
Key personnel moves across the regulated industries that we cover.
Amendments will also allow certain products to hold up to 15% of their assets in securities or digital commodities.