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SEC Rule 17a-1
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SEC charges BD and affiliated IAs with violating Whistleblower Protection Rule
Charges revolve around impediments to whistleblowing and reporting functions.
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SEC charges six credit rating firms for e-comms recordkeeping failures
Four of the six firms ordered to retain compliance consultants; two exempted due to extensive cooperative and remedial efforts.
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What can businesses expect after the US election? A few thoughts
With two months to go until America votes for its next President, we look at the potential implications for economic policy and regulation.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
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Austal USA hit with $24m penalty for fraudulently overstating profits
The company is accused of falsifying its profits and boosting its stock price by obscuring shipbuilding costs.
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SEC adopts reporting enhancements for registered investment companies
The SEC adopted amendments to reporting requirements on Form N-PORT so it can get more timely information about certain registered investment companies.
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Crypto wrap: Career opportunities, India's ambitions, and the crypto mega-rich
News from the US, India and around the world, plus the rise of crypto millionaires and billionaires.
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SEC cites Sound Point Capital Management for its handling of nonpublic info
The SEC said the fund adviser’s policies failed to consider the potential impact of material nonpublic information gained from serving as company lenders.