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Records Retention, SEC Compliance

SEC Wall Street Inquiry a Forewarning to Financial Firms on Employee Supervision
By Chip Jones on October 18, 2021

Last week, an inquiry opened by the U.S. Securities and Exchange Commission (SEC) into how a number of Wall Street banks are keeping track of their employee communications grabbed...

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SEC Compliance

SEC Advertising Rules: Guidance on Proposed Amendments
By Global Relay on September 17, 2020

Attracting new prospects—or even retaining existing clients—could be about to get trickier as the SEC proposes the first changes to its advertising rules for investment advisors since...

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