The Securities and Trade Fee (SEC) has levied fines totaling million towards 26 monetary corporations for widespread failures to keep up and protect digital The costs, introduced yesterday (Wednesday), goal broker-dealers, funding advisers, and dually-registered entities for violating…
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OffChannel
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Regulation
16 Wall Avenue Corporations to Pay $1.1B for ‘Off-Channel Communications’
by Jeremyby JeremyThe USA Securities and Alternate Fee (SEC) on Tuesday introduced that 15 broker-dealers and one affiliated funding adviser have agreed to pay mixed penalties of over billion for his or her recordkeeping Take Benefit of the Largest Monetary…