[New post] SEC’s $79 Million Crackdown: 10 Firms Hit with Recordkeeping Failures

Jared Kirui posted: "The Securities and Exchange Commission (SEC) has imposed penalties totaling $79 million on ten firms for allegations of inadequate recordkeeping. The regulator said the crackdown had exposed a trend of inadequate electronic communication maintained across" Lucky Developer SEC's $79 Million Crackdown: 10 Firms Hit with Recordkeeping Failures Jared Kirui Oct 1 The Securities and Exchange Commission (SEC) has imposed penalties totaling $79 million on ten firms for allegations of inadequate recordkeeping. The regulator said the crackdown had exposed a trend of inadequate electronic communication maintained across broker-dealers and investment advisers.In a decisive move, the SEC took action against five broker-dealers, three dually registered broker-dealers and investment Read more of this post Comment Unsubscribe to no longer receive posts from Lucky Developer. Change your email settings at manage subscriptions. Trouble clicking? Copy and paste this URL into your browser: https://riuzzang.com/2023/10/01/secs-79-million-crackdown-10-firms-hit-with-recordkeeping-failures/

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