Tag: Books & Records
SEC Continues to Focus on Off-Channel Communications
At the 2024 IAA Investment Adviser Compliance Conference, a panel of compliance experts discussed the SEC’s current focus on off-channel communications and how advisers should respond.
April 19, 2024
Tags: Books & Records, Off-Channel Communications, Recordkeeping, SEC Enforcement
SEC Brings New Off-Channel Communications Cases, More to Come
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023
Recordkeeping Cases Ensnare Large Brokers, RIAs Next
On the heels of a group of recent settlements of charges relating to record-preservation practices at large brokerage firms, the SEC is turning its attention to investment advisers – conducting an enforcement sweep of record-retention practices at large advisers of all types.
October 19, 2022
New York-Based Adviser Fined for Causing Brokers to Violate Short Sale Rules
Firm fined for mismarking short orders as long, causing brokers to violate Regulation SHO.
May 13, 2022
Tags: Books & Records, Compliance Policies, SEC Enforcement, Short Selling
Electronic Communications Conundrum: Risks vs. Regulatory Obligations
16 steps to take in light of the SEC’s enforcement case for supervisory and recordkeeping failures stemming from the use of personal devices for business communications.
January 26, 2022
Tags: Books & Records, SEC Enforcement
NY Electronic Recordkeeping Enforcement Action Sparks Wider SEC Probe
A NY-based firm pays $125 million to settle charges related to failures to maintain and preserve written communications found on personal devices.
December 21, 2021
Tags: Books & Records, SEC Enforcement
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