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SEC Rule 17a-1
The documents to be kept and preserved include all
The documents must be retained for a period of at least five years. They must remain easily asscessible for the first two years.
When requested they must be promptly furnished to the SEC.
Charges revolve around impediments to whistleblowing and reporting functions.
Julie DiMauro3 min read
Four of the six firms ordered to retain compliance consultants; two exempted due to extensive cooperative and remedial efforts.
Julie DiMauro1 min read
With two months to go until America votes for its next President, we look at the potential implications for economic policy and regulation.
Julie DiMauro4 min read
How to comply with compliance rules on both sides of the Atlantic without being penalised.
The company is accused of falsifying its profits and boosting its stock price by obscuring shipbuilding costs.
Alexander Barzacanos1 min read
The SEC adopted amendments to reporting requirements on Form N-PORT so it can get more timely information about certain registered investment companies.
Julie DiMauro1 min read
News from the US, India and around the world, plus the rise of crypto millionaires and billionaires.
Hameed Shuja5 min read
The SEC said the fund adviser’s policies failed to consider the potential impact of material nonpublic information gained from serving as company lenders.
Julie DiMauro4 min read