Month: July 2022

The debate at the Commission as July sizzled to a close is over complex products. The agency has brought enforcement actions in this area when investors purchased complex products recommended by a market professional and the firm’s policies and procedures …

This Week In Securities Litigation (August 1, 2022) Read More »

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Privacy, identity theft and similar issues can be key for firms that have files containing personal data of clients. The Commission addressed the question of identity theft with the adoption of Regulation S-ID in 2013. The first enforcement action was …

Three Firms Sanctioned For Inadequate Identity Theft Programs Read More »

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