Tag: SEC

The Safeguard rule is designed to protect customer information. For this reason it is important that investment advisers and broker-dealers adopt and properly implement reasonably designed policies and procedures. In the age of cybersecurity, no doubt the rule is key. …

The Safeguard Rule: A New Focus? Read More »

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Financial fraud has long been a focus of the Commission’s enforcement program. While over the years a series of significant actions have been initiated, in recent periods, there have been difficulties in identifying and initiating actions. This week the Commission …

SEC Files a Financial Fraud Action Read More »

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