Category Archives: Regulators

Regulators
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SEC has brought 43 Charges in Sept 2023

(quoted from SEC’s https://www.sec.gov/news/pressreleases ) SEC has brought 43 charges in Sept 2023 (quoted from the release) for the various violations listed below. The list of releases and their links are here Sept. 29, 2023 SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule Sept. 29, 2023 SEC Charges 10 Firms with Widespread Recordkeeping […]...

Published On - September 30, 2023

Lameerinc Regulators
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SEC Division of Examinations releases Risk Alert for Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents*

SEC Division of Examinations issued a Risk Alert for Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents on Sept 6th 2023. Please find the link here. All information below is quoted from the risk alert. https://www.sec.gov/files/risk-alert-ia-risk-and-requesting-documents-090623.pdf Key Highlights (quoted from the article) Each year, the Division’s publication of its annual priorities provides advisers with […]...

Published On - September 6, 2023

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SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices

SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices on April 26, 2023 Quoted from the alert I Introduction The Division of Examinations (EXAMS) is issuing this risk alert* to highlight the importance of establishing written policies and procedures for safeguarding customer records and information at branch offices. Many broker-dealers and […]...

Published On - April 28, 2023

Lameerinc News, Regulators