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SEA 1934 Rule 18a
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MUFG Securities EMEA fined $9.8m over ‘substituted compliance’ failures
Firm failed to implement measures to comply with applicable conditions, despite representations that it had done so.
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Gensler seeks to modernize recordkeeping with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. What do they mean, and how can firms prepare?