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IAA 1940 Rule 204
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SEC says former CCO modified records pertaining to agency examination
Ballek did not admit wrongdoing in connection with the regulator’s claims she modified company records that were part of an SEC examination.
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SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
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Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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How to get a handle on managing electronic communications
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
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SEC Risk Alert highlights new areas of focus in Marketing Rule exams
SEC’s latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.